|
COOPER MARKETS s.r.o
|
Czech National Bank |
Czech Republic
|
20201127
27 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Czech National Bank wishes to warn the public that COOPER MARKETS s.r.o., company ID number 03441067, which is offering the possibility of trading in financial derivatives via the CP Markets platform on its website https://web.coopermarkets.com/,
more
|
|
Zurich Markets Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201127
27 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
Inquot Investing Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201127
27 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
iAlphagroup
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20201126
26 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Novak Peter Financial Advisors & Solutions (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201126
26 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Novak Peter Financial Advisors & Solutions (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201126
26 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
24 News Trade
|
Financial Conduct Authority |
United Kingdom
|
20201126
26 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
TradeTime / Trade Time (trading name of Capital Process Ltd)
|
Financial Conduct Authority |
United Kingdom
|
20201126
26 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Blockchain Ltd / Blockchain.com (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201126
26 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
McLaren Asset Management (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201126
26 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Escrow Services Limited / Escrow Services Limited Asset Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20201126
26 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
UK Bonds Company
|
Financial Conduct Authority |
United Kingdom
|
20201125
25 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
https://market.wikifx.hk
|
Securities and Futures Commission |
Hong Kong
|
20201125
25 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Ubrokers / Ubrokers.com
|
Financial Conduct Authority |
United Kingdom
|
20201124
24 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Cater Allen Private Banking
|
Financial Conduct Authority |
United Kingdom
|
20201124
24 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Golden Hill Corporate sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20201124
24 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
SwissKapital
|
Financial Market Authority |
Austria
|
20201124
24 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Steiner Greves
|
Financial Market Authority |
Austria
|
20201124
24 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.skyway.capital/
|
Financial Market Authority |
Austria
|
20201124
24 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
YuanPay Group
|
Financial Markets Authority |
New Zealand
|
20201123
23 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
Winn Group Ltd
|
Financial Markets Authority |
New Zealand
|
20201123
23 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
bslcorporationltd.co
|
Financial Markets Authority |
New Zealand
|
20201123
23 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
Axes LLC
|
Financial Markets Authority |
New Zealand
|
20201123
23 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
Absolute Global Marketing
|
Financial Markets Authority |
New Zealand
|
20201123
23 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
Elezeno Capital
|
Financial Markets Authority |
New Zealand
|
20201123
23 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
NZ Shell Catalysts & Technologies Limited
|
Financial Markets Authority |
New Zealand
|
20201123
23 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
JC Capital Ltd.
|
Ontario Securities Commission |
Ontario
|
20201123
23 Nov 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
JC Capital Ltd., found at www.jccapitalmarkets.com, is not registered in Ontario to engage in the business of trading in securities.
|
|
WWW.COMOVIVIRDELTRADING.ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
WWW.WTCINVERSION.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WTCINVERSION
more
|
|
WWW.ANGELESINVERSIONISTAS.ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ANGEL INVESTMENT NETWORK, LTD
|
|
HTTPS://GMTMARKET.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Online-Trading.io
|
Financial Conduct Authority |
United Kingdom
|
20201123
23 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
The Royal London Mutual Insurance Society Limited
|
Financial Conduct Authority |
United Kingdom
|
20201123
23 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Q Teck
|
Financial Conduct Authority |
United Kingdom
|
20201123
23 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
FG Markets
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Invest In Film
|
Financial Conduct Authority |
United Kingdom
|
20201123
23 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Hbc Market Ltd and Zentrale Zahlstelle Ltd, GAM Group Ltd and Llc, Ic Prime Broker, "Iacademy", "Mibtrades", ForTradersFx Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20201123
23 Nov 2020
|
Miscellaneous |
Consob has ordered the black-out of 5 new websites that offer financial services illegally.
more
|
|
Arbistar 2.0, S.L., “Mistertrader” and “Redfin Capital”, Maginito Services Ltd and NBG Market (KI) Limited, “European Trade 24” and “Allegra TM” “Pro Star”
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20201123
23 Nov 2020
|
Miscellaneous |
Consob has ordered the blackout of 7 new websites that abusively offer financial services/financial products: 5 abusive financial intermediation sites and 2 sites through which financial products are offered without a prospectus.
more
|
|
http://yuandaqihuogongsi.b58b.com
|
Securities and Futures Commission |
Hong Kong
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://caelusasset.com
|
Securities and Futures Commission |
Hong Kong
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fraudulent online trading platforms
|
Financial Services and Markets Authority |
Belgium
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning on :
more
|
|
www.qdyywlkj.com
|
Securities and Futures Commission |
Hong Kong
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Concord Financial Consult Ltd
|
Financial Services and Markets Authority |
Belgium
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning
|
|
Arrow Capital
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Ai Markets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201123
23 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
www.zzqhgj.com
|
Securities and Futures Commission |
Hong Kong
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
FVA Finance Limited
|
Securities and Futures Commission |
Hong Kong
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://cescaptial.com
|
Securities and Futures Commission |
Hong Kong
|
20201123
23 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Bond Supermarket UK
|
Financial Conduct Authority |
United Kingdom
|
20201120
20 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
compareinvestmentoptions.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20201120
20 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Investment Finder a trading name of London Choice Investments
|
Financial Conduct Authority |
United Kingdom
|
20201120
20 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
CloudForexOptions
|
British Columbia Securities Commission |
British Columbia
|
20201119
19 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Ebitcoino Limited
|
British Columbia Securities Commission |
British Columbia
|
20201119
19 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Canada-Crypto.com
|
British Columbia Securities Commission |
British Columbia
|
20201119
19 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Cash Forex Group
|
British Columbia Securities Commission |
British Columbia
|
20201119
19 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ExpressOptions247
|
British Columbia Securities Commission |
British Columbia
|
20201119
19 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
UK Best Bonds
|
Financial Conduct Authority |
United Kingdom
|
20201119
19 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Runwill sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20201119
19 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
Top-Up Finance Ltd/ Topup Finance LTD/ Topup Finance (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201119
19 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
CIB Bank (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201119
19 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Allianz Investor Relations (clone of EEA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20201119
19 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Preston Chapman Consulting Group LLC/Preston-Chapman Consulting Group LLC
|
Financial Conduct Authority |
United Kingdom
|
20201119
19 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Bubblext
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201119
19 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
www.chgadvisors.com
|
Securities and Futures Commission |
Hong Kong
|
20201119
19 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
UK Bond Search
|
Financial Conduct Authority |
United Kingdom
|
20201118
18 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
website www.capfinance-gestion.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201118
18 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MDX500
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201118
18 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
Legendary Learning and Tradinvest
|
Autorité des marchés financiers |
France
|
20201118
18 Nov 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French Autorité des marchés financiers is warning the public about the proposals and activities of a certain individual, through his companies Legendary Learning and Tradinvest. Please refer to the link to the AMF's website for full information i
more
|
|
4FXLUXUS Pvt Ltd and Global Pegasus LTD, Pure M Global Limited, Giuseppe Eros Lana, FS International LTD, Evergo Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20201118
18 Nov 2020
|
Miscellaneous |
Consob has ordered the black-out of 5 new websites that offer financial services illegally.
more
|
|
http://hrgj168.com
|
Securities and Futures Commission |
Hong Kong
|
20201118
18 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Dreyfus Corporation
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201118
18 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
BUY UK BONDS
|
Financial Conduct Authority |
United Kingdom
|
20201117
17 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Fixed Savers Ltd
|
Financial Conduct Authority |
United Kingdom
|
20201117
17 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Best Investments
|
Financial Conduct Authority |
United Kingdom
|
20201117
17 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bachman & Barber Securities LLC
|
Financial Conduct Authority |
United Kingdom
|
20201117
17 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Mycoinology
|
Financial Conduct Authority |
United Kingdom
|
20201117
17 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Logic IQ LLP
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201117
17 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
AG3 Partners GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201117
17 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
Advance Kredit Plus GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201117
17 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
https://worldmarkets.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WORLD MARKETS
|
|
https://mastertradingfx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MASTER TRADING FX
|
|
https://stocklux.co/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
KONSTOS MARKETS LTD
|
|
https://finance-intl.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
24INVEST
|
|
https://royaltyfinance.io/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ROYALTY FINANCE
|
|
https://energy-markets.io/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ENERGY MARKETS
more
|
|
https://www.sfx247.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FINANCIAL MARKET BUSINESS
|
|
https://bsb-global.io/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BSB GLOBAL
|
|
https://intrgroups.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MINDWORKS PARTNER LTD
|
|
https://tradeit-brokerhouse.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TRADE IT BROKER HOUSE SAC
|
|
www.wealthcapital.fm/es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WEALTH CAPITAL
|
|
https://crypto-course.ltd/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CRYPTO-COURSE LTD
|
|
https://swiftcryptofx.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
SWIFT CRYPTO FX
more
|
|
https://quantfury.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
QUANTFURY LTD
|
|
https://es.eurswiss.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ADERON EU LTD
|
|
https://moontradefx.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MOON TRADE FX
|
|
https://fxg.market/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FXG.MARKET
|
|
www.24tradex.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
24 TRADEX
|
|
www.duxacapital.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
DUXA CAPITAL LTD
|
|
https://platinumproinvestment.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PLATINUM PRO INVESTMENT LTD
|
|
http://pecuniaco.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PECUNIA CONSULTING GROUP
|
|
https://globalfxs.org/?lang=esp
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GLOBALFX LTD
|
|
www.fxpertos.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FX EXPERTOS
more
|
|
www.fortunetradefx.com (CLON)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Is not related to TRADESLIDE TRADING TECH LIMITED, which is duly registered with the CNMV under number 3528, as a European Economic Area Investment Firm operatingunder the Freedom to Provide Services regime in
more
|
|
https://cryptocashfx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CRYPTO CASH FX
more
|
|
https://binarytrades24.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://alpinumcg.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ALPINUM CG
more
|
|
https://24primeoption.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
24 PRIME OPTION
|
|
https://nimbusplatform.io
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.posedonfx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://atlasfx.co/index.html
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
British Bitcoin Profits
|
Financial Conduct Authority |
United Kingdom
|
20201116
16 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Compare ROI
|
Financial Conduct Authority |
United Kingdom
|
20201116
16 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
website www.otc-markets.eu
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201116
16 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
compareratebonds.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20201116
16 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Compareinvestments.co
|
Financial Conduct Authority |
United Kingdom
|
20201116
16 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Investment finder
|
Financial Conduct Authority |
United Kingdom
|
20201116
16 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
The Cube Fund EU
|
Financial Conduct Authority |
United Kingdom
|
20201116
16 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Mango Money Markets
|
Financial Conduct Authority |
United Kingdom
|
20201116
16 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bitcoin Future
|
Financial Markets Authority |
New Zealand
|
20201115
15 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
Yifeng Meng and Ling Sen Luo
|
Financial Markets Authority |
New Zealand
|
20201115
15 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
Insta Credit Finance
|
Financial Conduct Authority |
United Kingdom
|
20201113
13 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK Bond Central
|
Financial Conduct Authority |
United Kingdom
|
20201113
13 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
GCG International
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201113
13 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.energie-5.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201113
13 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Middleton Associates
|
Securities and Futures Commission |
Hong Kong
|
20201113
13 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Bank Popular
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201113
13 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
Wantuch Investment
|
Polish Financial Supervision Authority |
Poland
|
20201112
12 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Vision Introducer Ltd t/a Money Bonds Market
|
Financial Conduct Authority |
United Kingdom
|
20201112
12 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
AXA Investment Managers / AXA plc (clone of FCA authorised firm / FCA recognised product / UK registered company)
|
Financial Conduct Authority |
United Kingdom
|
20201112
12 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Budsfx
|
Financial Conduct Authority |
United Kingdom
|
20201112
12 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
GKS
|
Securities and Futures Commission |
Hong Kong
|
20201112
12 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Forge Global UK
|
Financial Conduct Authority |
United Kingdom
|
20201112
12 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Swiss Prime; Swiss Prime Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201111
11 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
Fraudulent Lenders
|
Autorité des marchés financiers |
Quebec
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
They target people with promises of personal, car or mortgage loans at very attractive rates in order to swindle them out of thousands of dollars in fees, payable in advance via bank transfer. In the process, they collect highly sensitive personal in
more
|
|
bond-invest.com
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Insight Investment Group/ Insight Premium (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Jacob & Grunfeld (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
RBC Capital Markets / RBC Investor & Treasury Services / RBC Financial Group (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Markets profit / Marketsprofit.com / Profit Market Trading (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Meritkapital.co (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Deals for Loan
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fast Loan UK / Fast Finance UK LTD (clone of an EEA authorised firm
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Montgrand Wealth Management (Clone of an EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
MarginElite / Margin Elite
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Invicta-Securities (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Thunder Loans
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Mymarketexpert.com
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
bondmarket.vip
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Fixed Rates UK
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fixed Rate Search
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
The ISA Finder
|
Financial Conduct Authority |
United Kingdom
|
20201111
11 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fx Leader Italia, Globalinvestfx Ltd, Fx-globalinvest Ltd, Crypto Engine, Lengvin Partners Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20201110
10 Nov 2020
|
Miscellaneous |
CONSOB has ordered the black-out of 6 new websites that offer financial services illegally:
more
|
|
search and invest
|
Financial Conduct Authority |
United Kingdom
|
20201110
10 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Findtopukbonds.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20201110
10 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
the-ratesclub.com
|
Financial Conduct Authority |
United Kingdom
|
20201110
10 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Patrycja Kojder-Orent TANIA KASA
|
Polish Financial Supervision Authority |
Poland
|
20201110
10 Nov 2020
|
Miscellaneous |
Notification under Article 150(1) of the Act on payment services. Notification made by the KNF.
|
|
GDC Limited
|
Securities and Futures Commission |
Hong Kong
|
20201110
10 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Golden Dawn (IT), DBFX Limited, Elevate4x Ltd, Hanabishi Partners Ltd, 4EX7 Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20201110
10 Nov 2020
|
Miscellaneous |
The Commissione Nazionale per le Società e la Borsa (CONSOB) has ordered the black-out of 6 new websites that offer financial services illegally:
more
|
|
Esos International Ltd and Kakedy International S.R.O, Royaltyfinance, Swissgems Ltd and Media Solutions Ltd, Premium Solutions Ltd, Broker Major Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20201110
10 Nov 2020
|
Miscellaneous |
has ordered the black-out of 6 new websites that offer financial services illegally:
more
|
|
Evolution Trading
|
Financial Conduct Authority |
United Kingdom
|
20201110
10 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Beforex Capital
|
Financial Conduct Authority |
United Kingdom
|
20201110
10 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Infinity Financial Services
|
Financial Conduct Authority |
United Kingdom
|
20201109
09 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
DGXLTD
|
Financial Conduct Authority |
United Kingdom
|
20201109
09 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Tenants Disrepair Help
|
Financial Conduct Authority |
United Kingdom
|
20201109
09 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
InvestTeck
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20201109
09 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.cosminvest-sa.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201109
09 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Avariz Group
|
British Columbia Securities Commission |
British Columbia
|
20201107
07 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fx Stock Trade Income
|
British Columbia Securities Commission |
British Columbia
|
20201107
07 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Skycapital
|
British Columbia Securities Commission |
British Columbia
|
20201107
07 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Bitstakers
|
British Columbia Securities Commission |
British Columbia
|
20201107
07 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
SENbit
|
British Columbia Securities Commission |
British Columbia
|
20201107
07 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Crypto-Miner Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20201107
07 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Alma Group Co Trading Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20201107
07 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Everest Coins Invest
|
British Columbia Securities Commission |
British Columbia
|
20201107
07 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
FalconFxOption
|
British Columbia Securities Commission |
British Columbia
|
20201107
07 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Marketscap
|
British Columbia Securities Commission |
British Columbia
|
20201107
07 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Penz Trades
|
British Columbia Securities Commission |
British Columbia
|
20201107
07 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Nimble Options Technologies Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20201107
07 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
World Markets
|
British Columbia Securities Commission |
British Columbia
|
20201107
07 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
invest-select.com
|
Financial Conduct Authority |
United Kingdom
|
20201106
06 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Mortgage Audits
|
Financial Conduct Authority |
United Kingdom
|
20201105
05 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Charleston Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20201105
05 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Lane Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20201105
05 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.presidioinvestmentsltd.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201105
05 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Deutsche Investment Loans - Deutsche Financial Investment
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201105
05 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
UkPropertyInvestorhub.com
|
Financial Conduct Authority |
United Kingdom
|
20201105
05 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
UK Bond Advisory
|
Financial Conduct Authority |
United Kingdom
|
20201105
05 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
UK INCOME ISAs
|
Financial Conduct Authority |
United Kingdom
|
20201105
05 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Topwealthinvestments.com
|
Financial Conduct Authority |
United Kingdom
|
20201105
05 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Bigstonemax
|
Financial Conduct Authority |
United Kingdom
|
20201105
05 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Ukbondcompany.com
|
Financial Conduct Authority |
United Kingdom
|
20201105
05 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Carrera Corporation Ltd
|
Financial Markets Authority |
New Zealand
|
20201105
05 Nov 2020
|
Miscellaneous |
No additional comments posted.
|
|
Sotafin
|
Financial Services and Markets Authority |
Belgium
|
20201104
04 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Milecljk Bank
|
Financial Services and Markets Authority |
Belgium
|
20201104
04 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Krediet S.A.
|
Financial Services and Markets Authority |
Belgium
|
20201104
04 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
FNP Diensten
|
Financial Services and Markets Authority |
Belgium
|
20201104
04 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Eeden Lening
|
Financial Services and Markets Authority |
Belgium
|
20201104
04 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Easy Loans / Allinone Loans
|
Financial Services and Markets Authority |
Belgium
|
20201104
04 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Dringende lening
|
Financial Services and Markets Authority |
Belgium
|
20201104
04 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
RMItrade
|
Financial Conduct Authority |
United Kingdom
|
20201104
04 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
HTTPS://EURIZONCAPITALSPAIN.COM/ (CLON)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
EURIZON CAPITAL SPAIN (CLON)
more
|
|
WWW.THEFARLIMITED.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
THE FAR LIMITED
|
|
WWW.BDVMARKETS.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
LAINO GROUP LIMITED
more
|
|
HTTPS://KRIPTO.MX/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
KRIPTO
|
|
HTTPS://BITRANE.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BITRANE
|
|
WWW.XIFRALIFESTYLE.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
XIFRALIFESTYLE
more
|
|
HTTPS://ES.UBANKER.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
REHOBOTH LTD.
|
|
WWW.TRADETIME.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TRADE TIME
more
|
|
HTTPS://TONTINEINVESTMENT.ORG/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TONTINE INVESTMENT
|
|
HTTPS://GLOBALWEALTHINVESTMENT.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GLOBAL WEALTH INVESTMENT LIMITED
|
|
HTTPS://CRYPTOLIMITED.NET
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CRYPTO LIMITED
|
|
HTTPS://REDFINSTOCKS.COM/ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
RED FIN STOCKS
more
|
|
HTTPS://SKYCAPITAL.CC/ES/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
SKY CAPITAL
|
|
HTTPS://LONEROBOT.LTD/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
LONE ROBOT LTD
|
|
HTTPS://PUMABROKER.COM/?LANG=ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PUMA BROKER
more
|
|
HTTPS://PREMIERFXT.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PREMIER FXT
more
|
|
HTTPS://FXTPREMIER.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FXT PREMIER
more
|
|
HTTPS://PREMIERFXTRADE.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PREMIER FX TRADE
|
|
HTTPS://CENTRALINVESTMENTS.US/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MY CENTRAL INVESTMENTS LLC
more
|
|
HTTPS://362LIVEOPTION.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FX LIVE LIMITED
|
|
WWW.IQCENT.COM/ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WAVE MAKERS LTD.
|
|
WWW.PAYINGINVEST.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PAYING INVEST LLC
|
|
HTTPS://FXPLUS.CO/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FX PLUS
|
|
HTTPS://FOREXLIBERTY.COM.MX/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FOREX LIBERTY
|
|
HTTPS://FX24OPTIONS.ORG
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FX24OPTIONS LTD.
|
|
HTTPS://CRUXINV.COM/ES/ (CLON)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CRUXINV (CLON)
more
|
|
HTTPS://CRUX24.COM/ES/ (CLON)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CRUX24 (CLON)
more
|
|
HTTPS://FINLAY.IO/ES/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MITZ HOLDINGS LTD
more
|
|
HTTPS://ENEVISLIMITED.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ENEVIS LIMITED
|
|
HTTPS://EMPIREXCAPITAL.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
EMPIREX CAPITAL
|
|
HTTPS://B2TRADES.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
B2TRADES
|
|
HTTPS://ELITE-MARKET.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ASTRICA LTD
|
|
WWW.MARKET4FX.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ASTRICA LTD
|
|
HTTPS://FINSCHOOL.CO
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WINESHTOCK TRADING LTD
|
|
HTTPS://BEFOREXCAPITAL.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BEFOREX CAPITAL
more
|
|
WWW.ALPARI.ORG/ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ALPARI INTERNATIONAL
more
|
|
HTTPS://ELITEFXLTD.CLUB/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ELITE FX LTD
|
|
HTTPS://WWW.OCTAGONTRADE.COM/ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
HTTPS://CRYPTOARB.IO/ES/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CRYPTOARB
|
|
HTTPS://WWW.CTXHOLDINGS.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GOLDEN DAWN (IT)
|
|
Coolbaugh Securities
|
Financial Conduct Authority |
United Kingdom
|
20201103
03 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Tan Allen Piguet Asset Management
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201103
03 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Best Overseas Property Investments
|
Financial Conduct Authority |
United Kingdom
|
20201103
03 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Sovereign Resources
|
Financial Conduct Authority |
United Kingdom
|
20201103
03 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Morgan-Kingston International Consultancy LLC
|
Financial Conduct Authority |
United Kingdom
|
20201103
03 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Best Bond Finder
|
Financial Conduct Authority |
United Kingdom
|
20201103
03 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Search Investment Guides
|
Financial Conduct Authority |
United Kingdom
|
20201103
03 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Triton Partnership Ltd
|
Financial Market Authority |
Austria
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Stanton Wade
|
Financial Market Authority |
Austria
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
XTRGate or South Bay Holdings Ltd
|
Financial Market Authority |
Austria
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Prime Funder
|
Financial Market Authority |
Austria
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
MonaCoins.co
|
Financial Market Authority |
Austria
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Kolusha OU / FMR International OU (“Barons VC”)
|
Financial Market Authority |
Austria
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Prime-InvestFX / Prime-InvestFX Ltd
|
Financial Market Authority |
Austria
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Topukpropertybonds.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Top Wealth Bonds
|
Financial Conduct Authority |
United Kingdom
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
get.betterbondrate.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Broker Unity / Brokerunity/ Kode Tech Solutions LTD
|
Financial Conduct Authority |
United Kingdom
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Aussie Trust
|
Financial Conduct Authority |
United Kingdom
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK Bonds Trust
|
Financial Conduct Authority |
United Kingdom
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
The Bond Finder
|
Financial Conduct Authority |
United Kingdom
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
https://everbright-sun-hung-kai-ebshk-direct.business.site
|
Securities and Futures Commission |
Hong Kong
|
20201102
02 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
KM Asset Holdings
|
Financial Conduct Authority |
United Kingdom
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bitrend
|
Financial Conduct Authority |
United Kingdom
|
20201102
02 Nov 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
CoinglobeFX Ltd
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201102
02 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://haitongcaifu8.com
|
Securities and Futures Commission |
Hong Kong
|
20201102
02 Nov 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
AnyTrades
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20201030
30 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
iCapital Consultants; I Capital Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201030
30 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Compare investment options
|
Financial Conduct Authority |
United Kingdom
|
20201030
30 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Segitz Finance
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201030
30 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Clairfield Consulting Group LLC
|
Financial Conduct Authority |
United Kingdom
|
20201030
30 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://haitongcaifu1.com
|
Securities and Futures Commission |
Hong Kong
|
20201030
30 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://ns0t2sr3a.zy868-gjwh.com
|
Securities and Futures Commission |
Hong Kong
|
20201030
30 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Bruckhaus Quist Limited
|
Securities and Futures Commission |
Hong Kong
|
20201030
30 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
IFSL Group
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Jubilee ACE Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201029
29 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
website www.kurprinz-capital.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201029
29 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
The Investment Checker
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Uk Bonds Index
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Compare Uk Best
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
best.fixedratebonds.online
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
The Money Market
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Fidelity International / Fidelity plc (Clone of FCA authorised firm, recognised product and UK registered company)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Liverpool Victoria Financial Services (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Charles Schwab & Co (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Capital Markets London (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Lending Expert (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Meritkapital.co (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Capital24 Option (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
O.D.D. ASSET MANAGEMENT / ODD Asset Management (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Wallwood Broker (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Scottish Widows (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
EVFX (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Etf Market UK Ltd (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Cress Capital / Cress-Capital.com (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Safe Assurance (clone of previously EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Hillwood (clone of EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201029
29 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
www.xycp34.com
|
Securities and Futures Commission |
Hong Kong
|
20201029
29 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
TheKryptoBank; KryptoBank (AG)
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201028
28 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Bit Trading a trading style of ABA Exchange
|
Financial Conduct Authority |
United Kingdom
|
20201027
27 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Romeinparis
|
Financial Conduct Authority |
United Kingdom
|
20201027
27 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
British Cash Loan
|
Financial Conduct Authority |
United Kingdom
|
20201027
27 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Stone Financial Corp
|
Financial Conduct Authority |
United Kingdom
|
20201027
27 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
ICB Capital
|
Financial Conduct Authority |
United Kingdom
|
20201027
27 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Toprated-bonds.com
|
Financial Conduct Authority |
United Kingdom
|
20201027
27 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
UK Bond Dictionary
|
Financial Conduct Authority |
United Kingdom
|
20201027
27 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
UK Bonds Centre
|
Financial Conduct Authority |
United Kingdom
|
20201027
27 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Axe Capital
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20201027
27 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Axe Capital. This company is a suspected boiler room. Axe Capital has approached persons without being asked, to offer them investment proposals.
more
|
|
https://sam-ag.com/
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201027
27 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
HTTPS://WWW.TRADINGON.IO/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201026
26 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TRADINGON
more
|
|
WWW.MARKETSI.ES (CLON)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201026
26 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.PLATFORM-MARKETS.COM (CLON)
more
|
|
CRYPTERIUM FINANCIAL SERVICES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201026
26 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CRYPTERIUM FS
more
|
|
HTTPS://TOLTECHFX.COM/ES/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201026
26 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
NEWTRADERS HOLDINGS LTD
|
|
HTTPS://BITOPTIONFX.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201026
26 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BITOPTIONFX
|
|
HTTPS://BIGLIQUIDITY.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201026
26 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BIG LIQUIDITY
|
|
HTTPS://FXONUS.COM/ES/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201026
26 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FXONUS
more
|
|
WWW.PAISTRADE.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201026
26 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PAISTRADE MARKETING LTD
more
|
|
HTTPS://BRISTOLHISPANO.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201026
26 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BRISTOL HISPANO
more
|
|
WWW.DDTMARKETS.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201026
26 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
DDTMARKETS
more
|
|
WWW.INVESTINGSCAPITALS.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201026
26 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
INVESTING CAPITALS
|
|
WWW.EARN-PROFIT.CO/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201026
26 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PROFIT EARNED LIMITED
more
|
|
HTTPS://CFRESERVE.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201026
26 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Vuelex
|
Autorité des marchés financiers |
France
|
20201026
26 Oct 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
After receiving complaints from investors, the French AMF is warning the public against the activities of Vuelex, a company that is offering unauthorised investment services and financial investment advice in France on its website https://www.vuelex.
more
|
|
PetronPay
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201026
26 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Firstcrest bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201026
26 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Finach Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201026
26 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
APEEX INVESTMENT & TRADINGS LTD; APEEXINVESTMENT TRADING LTD
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201023
23 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
UK Bond Advisory
|
Financial Conduct Authority |
United Kingdom
|
20201023
23 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Renewable Energy Reports
|
Financial Conduct Authority |
United Kingdom
|
20201023
23 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Mutual Lending Mate
|
Central Bank of Ireland |
Ireland
|
20201022
22 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Mutual Lending Mate is not authorised to provide investment services to persons in Ireland. The firm purports to be based in Ireland.
|
|
First Rate Bonds
|
Financial Conduct Authority |
United Kingdom
|
20201022
22 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
General Investment Partners
|
Financial Conduct Authority |
United Kingdom
|
20201022
22 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Property Fixed Income
|
Financial Conduct Authority |
United Kingdom
|
20201021
21 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
YLP & Co
|
Financial Conduct Authority |
United Kingdom
|
20201021
21 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Search Investments Now
|
Financial Conduct Authority |
United Kingdom
|
20201021
21 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Robert Werth Financial Solutions
|
Financial Conduct Authority |
United Kingdom
|
20201021
21 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
MARKETFORNOW (a trading style of DaViko Business LTD)
|
Financial Conduct Authority |
United Kingdom
|
20201021
21 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Tenant Assist
|
Financial Conduct Authority |
United Kingdom
|
20201021
21 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
www.oasis-im.com
|
Securities and Futures Commission |
Hong Kong
|
20201021
21 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Eirgon
|
Financial Conduct Authority |
United Kingdom
|
20201020
20 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Staunch Capital / Staunch Capital Investment
|
Financial Conduct Authority |
United Kingdom
|
20201020
20 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
thebondlab.com
|
Financial Conduct Authority |
United Kingdom
|
20201020
20 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
24Cash Lender / 24 Cash Lender
|
Financial Conduct Authority |
United Kingdom
|
20201020
20 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
AU-F / AUF Limited
|
Financial Conduct Authority |
United Kingdom
|
20201020
20 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Uk Bonds Index
|
Financial Conduct Authority |
United Kingdom
|
20201020
20 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Easy Money Loan
|
Financial Conduct Authority |
United Kingdom
|
20201020
20 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
website www.alpha-prevoyance.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201019
19 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Bariseau Capital Management (Clone of an EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201019
19 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Norden Wealth Management (clone of previously EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201019
19 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Virgin Money (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201019
19 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Moneycorp Life and Wealth Invesment Management (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201019
19 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Aegon London (Clone of an FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201019
19 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Infinity Loans / Chetwood Financial (clone of an FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201019
19 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Uk Bonds Directory
|
Financial Conduct Authority |
United Kingdom
|
20201019
19 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Remington Securities LLC
|
Financial Conduct Authority |
United Kingdom
|
20201019
19 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Fintech Software Inc, Oproserv Limited, Leadernet OU, Raw Trading, Brokermasters GrahamFE FinServices and Elit Property Vision, Digital Exchange Limited and Securex Plus Solutions EOOD
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20201019
19 Oct 2020
|
Miscellaneous |
Consob has ordered the black-out of 5 new websites that offer financial services illegally.
more
|
|
Clara Currency Analyst / Clara Forex Analyst
|
Financial Conduct Authority |
United Kingdom
|
20201019
19 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
First Class Financial Group sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20201019
19 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
RTTFX
|
Financial Conduct Authority |
United Kingdom
|
20201019
19 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Company Cubic Services Ltd.
|
Polish Financial Supervision Authority |
Poland
|
20201019
19 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Howden Global Acquisition Group
|
Financial Markets Authority |
New Zealand
|
20201018
18 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
United Commonwealth Financial Protection Board
|
Financial Markets Authority |
New Zealand
|
20201018
18 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Insta Lend
|
Financial Conduct Authority |
United Kingdom
|
20201016
16 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Furmann & Partner AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201016
16 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Binvesting
|
Financial Conduct Authority |
United Kingdom
|
20201016
16 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ProFinanzen
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201016
16 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Tygrysia Maska sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20201015
15 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
The Investment Checker
|
Financial Conduct Authority |
United Kingdom
|
20201015
15 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
BTCDuke sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20201015
15 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Avex Capital
|
Finansinspektionen |
Sweden
|
20201015
15 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fortuna Private Investments
|
Finansinspektionen |
Sweden
|
20201015
15 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fundusz Hipoteczny Yanok sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20201015
15 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Independent Financial Securities
|
Financial Conduct Authority |
United Kingdom
|
20201015
15 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Banknocik Pionki Patryk Dzięcioł
|
Polish Financial Supervision Authority |
Poland
|
20201015
15 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
website www.pimalo-invest.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201015
15 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Crown-Thompson Global Wealth Management LLC
|
Financial Conduct Authority |
United Kingdom
|
20201015
15 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Uplevel Investments
|
Financial Conduct Authority |
United Kingdom
|
20201015
15 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
HTTPS://THECAPITALSTOCKS.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201013
13 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
KLEINMAN ENTERPRISE LTD
|
|
HTTPS://COINEPRO.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201013
13 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MONETHERA GROUP OÜ
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201013
13 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.MONETHERA.COM
|
|
RICHMONDFX
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201013
13 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://RICHMONDFX.CO
more
|
|
VIVAEXCHANGE O.U.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201013
13 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.EXW-WALLET.COM
|
|
POWERMINE
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201013
13 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://POWERMINE.NET/
|
|
Kuvera Global
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20201013
13 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Steep Financial Services Inc
|
Financial Conduct Authority |
United Kingdom
|
20201013
13 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Inquot Investing Group
|
Financial Conduct Authority |
United Kingdom
|
20201013
13 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
JMS Bonds (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201012
12 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Ambrosia Asset Management UK (clone of formerly EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201012
12 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fundamental Index Emerging Equity Fund (clone of a recognised product)
|
Financial Conduct Authority |
United Kingdom
|
20201012
12 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Aviva Investment Solutions (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201012
12 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Natixis life and wealth investment Management (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201012
12 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Allianz Private Investors (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201012
12 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Lyon Royal Equity Wealth Management (Clone of an EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201012
12 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ZFX Club (clone of an fCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201012
12 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Traderia (A trading style of Pro Star Griffith Corporate Limited)
|
Financial Conduct Authority |
United Kingdom
|
20201012
12 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ICS Hire Limited
|
Financial Conduct Authority |
United Kingdom
|
20201012
12 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Capital Way Group / Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20201012
12 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Trade Centre
|
Financial Conduct Authority |
United Kingdom
|
20201012
12 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Atlas Global Recovery Solutions
|
Financial Conduct Authority |
United Kingdom
|
20201012
12 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
MyCapital, Tradixa Ltd, Astrica Ltd, Globalix Ltd, richemontson
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20201012
12 Oct 2020
|
Miscellaneous |
Consob has ordered the black-out of 5 new websites that offer financial services illegally.
more
|
|
Infinity Trust Management
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201012
12 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Equal Real Estate SA
|
Polish Financial Supervision Authority |
Poland
|
20201009
09 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Sekrata Sp. Z O.O.
|
Polish Financial Supervision Authority |
Poland
|
20201009
09 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Grand Marshall Ltd
|
Polish Financial Supervision Authority |
Poland
|
20201009
09 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Crumpler Securities LLC
|
Financial Conduct Authority |
United Kingdom
|
20201009
09 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Brokerz.com
|
Financial Supervision Commission |
Bulgaria
|
20201008
08 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Parilease (UK) Wealth Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201008
08 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Barkley Associates
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201008
08 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
My Disrepair Claim
|
Financial Conduct Authority |
United Kingdom
|
20201008
08 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Renewable Energy investor
|
Financial Conduct Authority |
United Kingdom
|
20201008
08 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Prime Investments
|
Financial Conduct Authority |
United Kingdom
|
20201008
08 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Premier Bonds
|
Financial Conduct Authority |
United Kingdom
|
20201008
08 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Royal Banc
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201008
08 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
UK Bonds Club
|
Financial Conduct Authority |
United Kingdom
|
20201007
07 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK North Bonds
|
Financial Conduct Authority |
United Kingdom
|
20201007
07 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK Gilts Community
|
Financial Conduct Authority |
United Kingdom
|
20201007
07 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK Fixed Bonds Community
|
Financial Conduct Authority |
United Kingdom
|
20201007
07 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Property Investor Expert
|
Financial Conduct Authority |
United Kingdom
|
20201007
07 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Neo-Chain
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20201007
07 Oct 2020
|
Miscellaneous |
No additional comments posted.
|
|
Royals FX
|
Financial Markets Authority |
New Zealand
|
20201007
07 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Bubblext
|
Financial Conduct Authority |
United Kingdom
|
20201006
06 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
HTTP://ARBISTAR.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201006
06 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ADI INTERNATIONAL BUSINESS (MARBELLA)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201006
06 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://ADIINTERNACIONALBUSINESS.UENIWEB.COM/
|
|
HTTPS://T2TRADE.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201006
06 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
NAXEX BELIZE LTD
|
|
WWW.LMFX.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201006
06 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GLOBAL TRADE PARTNERS LTD
|
|
WWW.ITCOLATAM.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201006
06 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
INVEST & TRADE CO.
|
|
HTTPS://INVESTCAPITALBTC.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201006
06 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
INVEST CAPITAL BTC
|
|
HTTPS://FINMAXFX.COM/ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201006
06 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GATELINAS UAB
more
|
|
HTTP://FINANCENTER.COM.MX/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20201006
06 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FINANCENTER BROKERING SERVICES
|
|
Elite Traders Trading Services LTD / Prime Technologies LTD
|
Financial Market Authority |
Austria
|
20201006
06 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Royal Gates LTD (FxPrime)
|
Financial Market Authority |
Austria
|
20201006
06 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Krisimark Ltd
|
Financial Market Authority |
Austria
|
20201006
06 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
InterCryptos Ltd
|
Financial Market Authority |
Austria
|
20201006
06 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
WilliamPartners
|
Financial Market Authority |
Austria
|
20201006
06 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Osaka Matsui Management
|
Financial Market Authority |
Austria
|
20201006
06 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Blackstone500
|
Financial Market Authority |
Austria
|
20201006
06 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Investment Management Co. Pty Ltd
|
Securities and Futures Commission |
Hong Kong
|
20201006
06 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
FXMarket / XMFX
|
Securities and Futures Commission |
Hong Kong
|
20201005
05 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ABN AMRO Private Bank (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Finanza-Invest (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Luxeeforex (Clone of Appointed Representative firm)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Luxeeforex (Clone of Appointed Representative firm)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bluebird Options Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fred Robert Loan Company (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Prudential Bonds / Prudential Financial Planning (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
MJT Bonds (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Jetloan (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Blackrock Bonds (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Prudential (Clone of FCA recognised product and UK registered company)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Principle Forsakrings Holdings (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Sands Capital (Clone of an FCA Recognised Product)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Saxo Bank/ Saxo Capital (Clone of an EEA Authorised firm and an FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Friends & Pro Loans
|
Financial Conduct Authority |
United Kingdom
|
20201005
05 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ELG Capital Partners
|
Autorité des marchés financiers |
France
|
20201005
05 Oct 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF warns the public against ELG Capital Partners and its website www.elgcapitalpartners.fr.
|
|
IFDC Capital Management LLC
|
Securities and Futures Commission |
Hong Kong
|
20201005
05 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.bgifx.com
|
Securities and Futures Commission |
Hong Kong
|
20201005
05 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ISA Help
|
Financial Conduct Authority |
United Kingdom
|
20201002
02 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Housing Disrepair Claims Direct
|
Financial Conduct Authority |
United Kingdom
|
20201002
02 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
UK Savings Accounts
|
Financial Conduct Authority |
United Kingdom
|
20201002
02 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
BCP Private
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20201002
02 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Global Pegasus Ltd
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20201002
02 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Kronos Invest Ltd
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20201002
02 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Global Markets and Cubic Services Ltd
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20201002
02 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website https://leveltrades.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20201002
02 Oct 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Connect Finances
|
Financial Conduct Authority |
United Kingdom
|
20201002
02 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Tradebase24
|
Financial Conduct Authority |
United Kingdom
|
20201002
02 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
SMI Markets
|
Financial Conduct Authority |
United Kingdom
|
20201002
02 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Interactive Trade
|
Financial Conduct Authority |
United Kingdom
|
20201002
02 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Property Fixed Income
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Renewable Energy Investor
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Sadi Finance
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
OFC Markets
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Claims Advice Bureau (Clone of an FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fixed Rate Investment Reports
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Compare APR Rates
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Pounds to Wallet
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Pounds to Wallet
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fast Easy Cash
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Credit Finance Corporation
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
MCManagement
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
FR Investments/First Response Investments
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bond Guru
|
Financial Conduct Authority |
United Kingdom
|
20201001
01 Oct 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Compare UK Best
|
Financial Conduct Authority |
United Kingdom
|
20200930
30 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK Bonds Institution
|
Financial Conduct Authority |
United Kingdom
|
20200930
30 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ISA Comparison
|
Financial Conduct Authority |
United Kingdom
|
20200930
30 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK North Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200930
30 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Markets Swiss
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200930
30 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
Global Trading Surveillance Authority
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200930
30 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
KML Investments Limited
|
Financial Markets Authority |
New Zealand
|
20200930
30 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Coinsure LTD
|
Financial Markets Authority |
New Zealand
|
20200930
30 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
CTX Prime
|
Financial Markets Authority |
New Zealand
|
20200930
30 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Bitcoin System
|
Financial Markets Authority |
New Zealand
|
20200930
30 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Investam HK (Investam-HK)
|
Financial Markets Authority |
New Zealand
|
20200930
30 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Acquisition Direct Facilitators
|
Financial Markets Authority |
New Zealand
|
20200930
30 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Coinsave
|
Financial Markets Authority |
New Zealand
|
20200930
30 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
FXBITMARKET Limited
|
Ontario Securities Commission |
Ontario
|
20200929
29 Sep 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
FXBITMARKET Limited, found at www.fxbitmarket.com, is not registered in Ontario to engage in the business of trading in securities.
|
|
Neo Capital Group Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200929
29 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
Crypterium Financial Services, bstox24, Luxor Asset ManagementTrust, GFX FINANCE” Capital Letter GMBH, Terratech Ltd, Tio Markets Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200929
29 Sep 2020
|
Miscellaneous |
Consob has ordered the black-out of 6 new websites that offer financial services illegally. The authority availed itself of the new powers resulting from the ‘Decreto Crescita’ (‘Growth Decree’; Law no. 58 of 28 June 2019, Article 36, paragraph 2-ter
more
|
|
Fuller-Grant International Consultancy LLC
|
Financial Conduct Authority |
United Kingdom
|
20200929
29 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
TerratradeX
|
Financial Conduct Authority |
United Kingdom
|
20200929
29 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Cryptenix
|
Financial Conduct Authority |
United Kingdom
|
20200929
29 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Warning against recovery rooms
|
Financial Services and Markets Authority |
Belgium
|
20200929
29 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning on :
more
|
|
The Helpers (Cloned firm)
|
Financial Services and Markets Authority |
Belgium
|
20200929
29 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Service Meer
|
Financial Services and Markets Authority |
Belgium
|
20200929
29 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Selva Bank
|
Financial Services and Markets Authority |
Belgium
|
20200929
29 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Option Financiale
|
Financial Services and Markets Authority |
Belgium
|
20200929
29 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Krediet Service
|
Financial Services and Markets Authority |
Belgium
|
20200929
29 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Kolan Invests
|
Financial Services and Markets Authority |
Belgium
|
20200929
29 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Gruppe Kredit Inter
|
Financial Services and Markets Authority |
Belgium
|
20200929
29 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Crystal Interfinance
|
Financial Services and Markets Authority |
Belgium
|
20200929
29 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Atless Finance
|
Financial Services and Markets Authority |
Belgium
|
20200929
29 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Accea Finance
|
Financial Services and Markets Authority |
Belgium
|
20200929
29 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Fraudulent online trading platforms
|
Financial Services and Markets Authority |
Belgium
|
20200929
29 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning on :
more
|
|
MARKETSCFD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200928
28 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
SWISSGEMS LTD
more
|
|
HTTPS://AURAMARKETS.COM/METODO-ESPANOL/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200928
28 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
QUADRIGA ASSET MANAGERS (CLON)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200928
28 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.QUADRIGAASSETMANAGERS.COM
more
|
|
UNIVERSAL CAPITAL MARKETS LIMITED (CLON)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200928
28 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
UCM LIMITED
more
|
|
ALANTRAGLOBAL (CLON)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200928
28 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://ALANTRAGLOBAL.COM/
more
|
|
Atypical investments or binary options trading
|
Autorité des marchés financiers |
France
|
20200928
28 Sep 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF is updating its list of companies proposing atypical investments or offering binary options trading without being authorized to do so.
|
|
Eisler Capital (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Sweet Loanz (Clone of FCA authorised firm
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Maxima Options UK Limited (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Carmignac Holdings / Carmignac Investment (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Norwich Savings and Loans (Clone of FCA Authorised Firm)
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Evolve Financial Services Limited / Evolve Financial Services Ltd / Evolve Financials (clone of FCA Authorised Firm)
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
DBS Trade / DBS Bonds (Clone of FCA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
BN Private Wealth Management / BN London / BN Wealth (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Nomura Bank (Clone of FCA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Scotiabank (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
BNY Mellon / The Bank of New York Mellon (International) Ltd (Clone of FCA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Finex Trade (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Cash Loans Finance (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Oneline MarketShare
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fundiza
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bitmex
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Invest Bonds UK
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Property Income Investor
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK Fixed Bonds Community
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bond Compare
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Compare Property Bonds UK
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ISA Advisor
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bullion Hedge Global
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ValueFX
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Tower of London Worldwide
|
Financial Conduct Authority |
United Kingdom
|
20200928
28 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Midas Wealth Management Securities
|
Financial Conduct Authority |
United Kingdom
|
20200925
25 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK Electronics (Instagram account: @ukelectronic)
|
Financial Conduct Authority |
United Kingdom
|
20200925
25 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UKbondsdirect.com
|
Financial Conduct Authority |
United Kingdom
|
20200924
24 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bond Comparison
|
Financial Conduct Authority |
United Kingdom
|
20200924
24 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
British Bonds Company
|
Financial Conduct Authority |
United Kingdom
|
20200924
24 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Finance Ever
|
Financial Conduct Authority |
United Kingdom
|
20200924
24 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
tradebits3.com
|
Ontario Securities Commission |
Ontario
|
20200923
23 Sep 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
tradebits3.com, found at www.tradebits3com, is not registered in Ontario to engage in the business of trading in securities.
|
|
Finance of Swiss
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200923
23 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
Forexcoin Options
|
British Columbia Securities Commission |
British Columbia
|
20200922
22 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
My Investment Search
|
Financial Conduct Authority |
United Kingdom
|
20200922
22 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Whichrates4u
|
Financial Conduct Authority |
United Kingdom
|
20200922
22 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
WALTER INTERNATIONAL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200922
22 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://WWW.WALTERINTERNATIONAL.COM
|
|
Londonbondsagency.com
|
Financial Conduct Authority |
United Kingdom
|
20200922
22 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ASTON TRUST
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200922
22 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BMB SERVICES LTD
more
|
|
HTTP://GLOBALSPOTFX.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200922
22 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TRADE COM LTD
|
|
HTTP://BID-BROKER-STOCKS.IO/ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200922
22 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
DONNYBROOK CONSULTING LTD
|
|
HTTP://BLUESAVE.IO/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200922
22 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BUEN SOLUTIONS LTD
|
|
HTTP://INVESTACTIVE.IO/ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200922
22 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HANABISHI PARTNERS LTD
|
|
Plan Bit Global Limited and Plan Bit Tech Ltd, Kaf Trade Ltd and K-Trade Ltd, Amber, KBS Capital Markets LTD, Bellerphon and Bliz Biz Pty Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200922
22 Sep 2020
|
Miscellaneous |
Consob has ordered the black-out of 5 new websites that offer financial services illegally. The authority availed itself of the new powers resulting from the ‘Decreto Crescita’ (‘Growth Decree’; Law no. 58 of 28 June 2019, article 36, paragraph 2-ter
more
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Income Bonds UK
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Financial Conduct Authority |
United Kingdom
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20200922
22 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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http://bakelaihk.com
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Securities and Futures Commission |
Hong Kong
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20200922
22 Sep 2020
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Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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香港國際期貨有限公司 (Chinese name only)
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Securities and Futures Commission |
Hong Kong
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20200922
22 Sep 2020
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Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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Juno Finance and Leasing Limited
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Financial Conduct Authority |
United Kingdom
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20200922
22 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Million Tinkle International
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Securities and Futures Commission |
Hong Kong
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20200922
22 Sep 2020
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Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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ZurichFG
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Swiss Financial Market Supervisory Authority |
Switzerland
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20200921
21 Sep 2020
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Miscellaneous |
No additional comments posted.
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Reclaim Fund Ltd (clone of FCA authorised firm)
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Financial Conduct Authority |
United Kingdom
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20200921
21 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Global Direct Trading Technologies/ Global DTT (clone of FCA authorised firm)
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Financial Conduct Authority |
United Kingdom
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20200921
21 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Lion Trust Asset Management / Liontrust (Clone of FCA authorised firms)
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Financial Conduct Authority |
United Kingdom
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20200921
21 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Eva Mullerova (Clone of former EEA authorised firm)
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Financial Conduct Authority |
United Kingdom
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20200921
21 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Investec Private Banking (clone of authorised firm)
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Financial Conduct Authority |
United Kingdom
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20200921
21 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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UBS Trade / UBS Trading Facility (Clone of an EEA authorised firm)
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Financial Conduct Authority |
United Kingdom
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20200921
21 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Fast Finance UK Limited (Clone of FCA authorised firm)
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Financial Conduct Authority |
United Kingdom
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20200921
21 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Ambry Trading Co., Limited
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Securities and Futures Commission |
Hong Kong
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20200921
21 Sep 2020
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Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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HK Golden Crown Trading Limited
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Securities and Futures Commission |
Hong Kong
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20200921
21 Sep 2020
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Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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www.jdzb.hk
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Securities and Futures Commission |
Hong Kong
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20200921
21 Sep 2020
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Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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FDI Funds
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Swiss Financial Market Supervisory Authority |
Switzerland
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20200918
18 Sep 2020
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Miscellaneous |
No additional comments posted.
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Coins FM
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Ontario Securities Commission |
Ontario
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20200918
18 Sep 2020
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Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
CoinsFM, found at www.coinsfm.com, is not registered in Ontario to engage in the business of trading in securities.
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UK Bonds Investment
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Financial Conduct Authority |
United Kingdom
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
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Goldberg-King International Consulting Group LLC
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Financial Conduct Authority |
United Kingdom
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
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North West Bonds
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Financial Conduct Authority |
United Kingdom
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
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Zenith Finance Ltd
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Malta Financial Services Authority |
Malta
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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Ages Investment Limited
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Malta Financial Services Authority |
Malta
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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www.bitmarket.vip
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Malta Financial Services Authority |
Malta
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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Tradezone247
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Malta Financial Services Authority |
Malta
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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www.winsie.com
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Malta Financial Services Authority |
Malta
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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Treos
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Malta Financial Services Authority |
Malta
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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Draconis Investment Limited
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Malta Financial Services Authority |
Malta
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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LionsRing Trading Limited
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Malta Financial Services Authority |
Malta
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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Scam Letters
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Malta Financial Services Authority |
Malta
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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Comino Crypto Fund LLC
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Malta Financial Services Authority |
Malta
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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Tower of London Worldwide
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Malta Financial Services Authority |
Malta
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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Pension Cash Solutions
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Financial Conduct Authority |
United Kingdom
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20200918
18 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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royal-bonds.com
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Financial Conduct Authority |
United Kingdom
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20200917
17 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
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bonds-investment-uk.com
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Financial Conduct Authority |
United Kingdom
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20200917
17 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
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searchukinvestments.com
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Financial Conduct Authority |
United Kingdom
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20200917
17 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
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uktaxfreebonds.com
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Financial Conduct Authority |
United Kingdom
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20200917
17 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
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Traderzmarket
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Financial Conduct Authority |
United Kingdom
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20200917
17 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Termination Services Limited
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Financial Conduct Authority |
United Kingdom
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20200917
17 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
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www.eastcredits.com
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Securities and Futures Commission |
Hong Kong
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20200917
17 Sep 2020
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Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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Audemart
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Swiss Financial Market Supervisory Authority |
Switzerland
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20200917
17 Sep 2020
|
Miscellaneous |
No additional comments posted.
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Cooper Westlake
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Financial Conduct Authority |
United Kingdom
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20200916
16 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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GCG International/Sage Global
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Financial Conduct Authority |
United Kingdom
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20200916
16 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Capital Way/Eastridge Capital
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Financial Conduct Authority |
United Kingdom
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20200916
16 Sep 2020
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Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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ApcoFX
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Financial Conduct Authority |
United Kingdom
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20200916
16 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Neo Chain / Neo-Chanin
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Financial Conduct Authority |
United Kingdom
|
20200916
16 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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FXConnect (clone of UK registered public company)
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Financial Conduct Authority |
United Kingdom
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20200916
16 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Credit Assessment Bureau
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Financial Conduct Authority |
United Kingdom
|
20200916
16 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Clarity Consulting Services Ltd
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Financial Conduct Authority |
United Kingdom
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20200916
16 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
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Remaxima
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Financial Conduct Authority |
United Kingdom
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20200916
16 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Plutus Finance
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Financial Conduct Authority |
United Kingdom
|
20200916
16 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
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Principle Forsakrings Holdings
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Financial Markets Authority |
New Zealand
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20200916
16 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Principle Forsakrings is not registered on the FSPR and not an incorporated company in New Zealand.
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ukbondsprovider.com
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Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
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Compare-bonds.online
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Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
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Firstclass Bonds
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Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
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smartinvestmentsearch.com
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Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
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CB BRASIL SERVICOS DIGITAIS LTDA
|
Comissão de Valores Mobiliários |
Brazil
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20200915
15 Sep 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:https://www.coinbene.com/br/,
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MAIS - ESCOLA DE NEGOCIOS
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Comissão de Valores Mobiliários |
Brazil
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20200915
15 Sep 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:‘www.merecomais.com”
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MERCATTUS PLANEJAMENTO FINANCEIRO LTDA
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Comissão de Valores Mobiliários |
Brazil
|
20200915
15 Sep 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means.
|
|
UKbondsdirect.com
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Insight Investment (Clone of FCA Authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Direct Loan UK (clone of an FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Direct Loan UK (clone of an FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Growing Power Loans Ltd (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Parilease Wealth / Parilease (UK) Wealth Management (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
FXM Trading/Traders (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
HeadWay Capital (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
AC Capital Partners (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Viva Loans (clone of Appointed Representative Introducer firm)
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Syntegra Capital (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Man Asset Management / Man Asset Management International (Clone of FCA and EEA Authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Alta Advisers (Europe) (Clone of FCA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Werner Hahn Capital / Werner Hahn Wealth Management (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Etorocoinoption
|
Financial Market Authority |
Austria
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Raxtrade or ROI STOCK LIMITED
|
Financial Market Authority |
Austria
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Tycoon69 International F.Z.E
|
Financial Market Authority |
Austria
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
CryptoXpertz Investment Ltd
|
Financial Market Authority |
Austria
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Green Finance GmbH
|
Financial Market Authority |
Austria
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
IFX Banc / ifxcapitals / Global Payment Solutions LLC
|
Financial Market Authority |
Austria
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
RoyalsFX / Joshua Development Limited
|
Financial Market Authority |
Austria
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
ASKoBID
|
Financial Market Authority |
Austria
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Aegion Group Ltd / CapitalFX
|
Financial Market Authority |
Austria
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
SMF Trading Inc
|
Jersey Financial Services Commission |
Jersey
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Holding Investment
|
Financial Markets Authority |
New Zealand
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
We are concerned Holding Investment and its associated website may be operating a scam.
|
|
G.R.C Trustee
|
Financial Markets Authority |
New Zealand
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
We are concerned G.R.C Trustee and https://www.grctrustee.com/ may be operating a scam.
|
|
Alioth Club
|
Financial Markets Authority |
New Zealand
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
We are concerned Alioth Club may be operating a scam and is falsely claiming to be based in New Zealand.
|
|
Promarkets
|
Financial Markets Authority |
New Zealand
|
20200915
15 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Promarkets is not registered on the FSPR and not an incorporated company in New Zealand.
|
|
website www.active-patrimony.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200914
14 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
propertybonds.uk
|
Financial Conduct Authority |
United Kingdom
|
20200914
14 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Myhash Token
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200914
14 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
Promarkets
|
Financial Markets Authority |
New Zealand
|
20200914
14 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Promarkets has been falsely advertising showing New Zealand celebrities promoting Promarkets when this is not the case.
|
|
Intro-Invest Ltd t/a Bond Compare
|
Financial Conduct Authority |
United Kingdom
|
20200911
11 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Search the Best Rates
|
Financial Conduct Authority |
United Kingdom
|
20200911
11 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ILA International
|
Financial Services and Markets Authority |
Belgium
|
20200911
11 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Dunn & Burchill
|
Financial Services and Markets Authority |
Belgium
|
20200911
11 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Crest View International
|
Financial Services and Markets Authority |
Belgium
|
20200911
11 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Carlyle Capital Management
|
Financial Services and Markets Authority |
Belgium
|
20200911
11 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'boiler room'
|
|
Ashton Group LTD
|
Financial Services and Markets Authority |
Belgium
|
20200911
11 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'boiler room'
|
|
Akiyama Acquisitions
|
Financial Services and Markets Authority |
Belgium
|
20200911
11 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'boiler room'
|
|
Rothschild and Wexler Capital (R.A.W. Capital)
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200911
11 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
Meta4fxtrade EU Ltd
|
Central Bank of Ireland |
Ireland
|
20200910
10 Sep 2020
|
Miscellaneous |
Meta4fxtrade EU Ltd is not authorised by the Central Bank of Ireland to provide investment services.
|
|
“Matrix banco”, Acquantum Ag, Inter Media, Equalizer, Uptos, “247 First Invest", “Wallwood Broker", NorthfintechFX Trading Services, KBS Capital Markets, Jean Pierre Technologies, Dinengo Partners
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200910
10 Sep 2020
|
Miscellaneous |
Consob has ordered the black-out of 11 new websites that offer financial services illegally.
more
|
|
fscsbonds.com
|
Financial Conduct Authority |
United Kingdom
|
20200910
10 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
ICX Capital Ltd (currently known as嘉盛国际)
|
Financial Markets Authority |
New Zealand
|
20200910
10 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
The FMA recommends exercising caution before dealing with ICX Capital Limited (currently known as 嘉盛国际), EMCM Limited, and the websites www.icxfor.com and www.icxcl.com, and www.emcmltd.com/sc/index.php which purports to be operated by ICX Capital Li
more
|
|
Onomar Ltd t/a Compare Income
|
Financial Conduct Authority |
United Kingdom
|
20200909
09 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Litigate Claims Consultants
|
Financial Conduct Authority |
United Kingdom
|
20200909
09 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
http://fdtew.s9om.cn
|
Securities and Futures Commission |
Hong Kong
|
20200909
09 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CoiniPro
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200908
08 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
William Rogers Law
|
Financial Conduct Authority |
United Kingdom
|
20200907
07 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Donaldson-Finley Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20200907
07 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
UK Bonds Agency
|
Financial Conduct Authority |
United Kingdom
|
20200907
07 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Invest UK Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200907
07 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
EPICS Investment
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200907
07 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
www.oanda-hk.com
|
Securities and Futures Commission |
Hong Kong
|
20200907
07 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
AFOManagement
|
Financial Markets Authority |
New Zealand
|
20200907
07 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
UK London Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200904
04 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
uk isa comparison a trading style of Easywealth Ltd
|
Financial Conduct Authority |
United Kingdom
|
20200904
04 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Search Bonds a trading style of Golden Water Ventures Ltd
|
Financial Conduct Authority |
United Kingdom
|
20200904
04 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Quantum Banking Trust & Estate AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200904
04 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
AskoBID
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200904
04 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
HAWK / TRADING PLEX
|
Autorité des marchés financiers |
Quebec
|
20200903
03 Sep 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
Twitter page states that HAWK / TRADING PLEX is an AMF-registered trader/broker. HAWK / TRADING PLEX is not registered with the AMF in any capacity, and the AMF does not in any way endorse the entity’s services. The AMF is taking the necessary steps
more
|
|
Cimovelpark
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200903
03 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fuda Capital
|
Financial Conduct Authority |
United Kingdom
|
20200903
03 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Kingsfintech
|
Securities and Futures Commission |
Hong Kong
|
20200903
03 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
OBTFX
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Guarantor Loans / Guarantorloansuk Ltd (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Elkwood Financial Services (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
FX Profit Broker / FXPB (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Valleys Finance Limited (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
FXGrow Capital (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Vandebeek Wealth Management (Clone of an EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
CCA Courtage (Clone of an EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Tyne Finance (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
London Global (clone of an FCA authorised firm and an EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Cramer Wealth Management (Clone of an EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Prime Capital Invest (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Saga Services Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Evolution Marketsltd (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
MeesPierson (clone of authorised firm
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Credit and Loan Management Limited (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Thierry Rochelle Private Equity (clone of an EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Akiyama Acquisitions
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20200902
02 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Akiyama Acquisitions. This company is a suspected boiler room. Akiyama Acquisitions has approached persons without being asked, to offer them inve
more
|
|
Grahamalpha
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20200902
02 Sep 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Grahamalpha. This company is a suspected boiler room. Grahamalpha has approached persons without being asked, to offer them investment proposals.
more
|
|
4EX7
|
Financial Conduct Authority |
United Kingdom
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
acentrustltd.com
|
Financial Markets Authority |
New Zealand
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
innovestltd.com
|
Financial Markets Authority |
New Zealand
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Knight Service Group Limited and Knight Market Limited
|
Financial Markets Authority |
New Zealand
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Unitex Capital Limited
|
Financial Markets Authority |
New Zealand
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
We are concerned that Unitex Capital Limited may be involved in a scam.
|
|
Marketing Giant
|
Financial Markets Authority |
New Zealand
|
20200902
02 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
We are concerned Marketing Giant and its websites have the hallmarks of a scam and are offering financial services/products to New Zealand residents.
|
|
Copernicus Securities SA
|
Polish Financial Supervision Authority |
Poland
|
20200901
01 Sep 2020
|
Miscellaneous |
Notification under Article 178 in conjunction with Article 69(1) as well as in conjunction with Article 69(2) point 5 of the Act on trading in financial instruments (to the sole extent of conducting investment advisory activities without KNF authoris
more
|
|
SAS aquisition & sales AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200901
01 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
Parker Prime
|
Financial Conduct Authority |
United Kingdom
|
20200901
01 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
SO FX
|
Financial Conduct Authority |
United Kingdom
|
20200901
01 Sep 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Global Financial Credit
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200901
01 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
Technische Isolierung Schweiz GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200901
01 Sep 2020
|
Miscellaneous |
No additional comments posted.
|
|
Variant Trading
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Varalen Capital Markets LLC
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
U.S. Offshore Trading Administration
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
TwitXOptions
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Tower Insurance Limited
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Thompson-Russo Securities
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Stax Capital
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Squire Investment Solutions
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Silverberg & Associates
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Secured Capital Policy
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Rosen and Schmertz
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Porter Todd Law
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
National Financial Market Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
M&A Global Consulting Group
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
JDL-Invest
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
International Business Permit Certificate
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Hutton Field Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Greenbridge International
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Green Knight Financial Services
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Global Securities and Trading Regulatory Commission
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Financial Services Department
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Federation Against Investor Fraud Committee
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Elite Investment
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Dale, Mariam and Banks Associates at Law
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
CryptoInvestments
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Corporations International and Domestic Donor Advised Funds Grants FB&CO
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Corporate Consulting Group Inc.
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Central Trade & Financial Authority
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Brooklyn Arbitration Council
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Brooklyn Arbitration Council
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Binatrex Advisors Corporation
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Baytree Capital Associates
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Argentinian Securities Commission
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Arcadia Acquisition Group Inc.
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Apexus Capital Investment
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Alexander Kingsley Private Equity Inc.
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Advanced Digital Trade
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Accrued Equities Inc.
|
Securities and Exchange Commission |
United States of America
|
20200831
31 Aug 2020
|
|
No additional comments posted.
|
|
Trade GF
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Turnkey Forex
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Wellington INV/Bali Limited LTD
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Global Capital Options
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Capital 245
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Eagle FX
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
FX Dealer
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Platin CFD
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
MM Financial Experts
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
VIP Businesses
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Top Option 360
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Omega Capitals
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
FXVIP
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Easy Line Pro
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Coinexx
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
IDB Trades/Baltic Concert LLP
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Richmond FG
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Omega Crypto
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Grand Tradefx
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
F1 Trade
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Crown Finance
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Allegra Markets
|
Commodity Futures Trading Commission |
United States of America
|
20200831
31 Aug 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
website https://immomagtib.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200831
31 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Mcgraw/ DBA
|
Securities and Futures Commission |
Hong Kong
|
20200831
31 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
thebondexpert.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200828
28 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Traderschain
|
Financial Conduct Authority |
United Kingdom
|
20200828
28 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
regulatedfixedratebonds.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200828
28 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
InvCenter
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200828
28 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
First Financial Banc
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200828
28 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.sinopointglobal.com
|
Securities and Futures Commission |
Hong Kong
|
20200828
28 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Thierry Rochelle Private Equity
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200827
27 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Lepus Marketing Limited t/a The PPI Team
|
Financial Conduct Authority |
United Kingdom
|
20200827
27 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fixed Rate Bonds-UK
|
Financial Conduct Authority |
United Kingdom
|
20200827
27 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
CapitalFunds
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200827
27 Aug 2020
|
Miscellaneous |
No additional comments posted.
|
|
Blackstone500
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200827
27 Aug 2020
|
Miscellaneous |
No additional comments posted.
|
|
Richieson Securities LLC
|
Financial Conduct Authority |
United Kingdom
|
20200826
26 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Phil International Limited
|
Securities and Futures Commission |
Hong Kong
|
20200826
26 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
INTEGRATED MARKETS LTD/ INTEGRATED MARKETS UK LTD
|
Comisión Nacional de Valores |
Argentina
|
20200825
25 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
LuxisTrade Ltd
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200825
25 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
3storich
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Mining Vault
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Normancapitalgroup
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Pro-FXTrades Ltd. or Pro-FXTrades.com
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Securities Management Consultants, Inc.
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Private Investment Banking Company LLC
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
GiroFX
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
TorexFX 42 Marketing Limited dba TorexFX
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Grand Trade Options
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CryptoBravos
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
TradeNix
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Best Trade Profit Limited
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CryptoTradeSolution
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Genesis Miners Limited
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Shanghai Industrial Investment (Holdings) Corporation Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
BITInvests
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fox-Trade.uk
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Cryptofx.club
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Net Binary Trade
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
BinaryOpt
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CryptoWorld
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Global Logistics BTC
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Forte-Miners
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Probtcminer
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Btccoinex
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Crypto Climax
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Easemining
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
LAT Foundation Limited
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
BeFaster.fit Limited
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Coinmining.Ltd
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Sblock-Trade
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Cryptrade24
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Highgoldminings.com
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Crypto Hallmark Investment
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Megabitpay Limited
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
StarkMarkets, operated by SWISSGEMS Ltd. and Krisimark Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Cryptominas
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Crypto-ct.com
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
GTV Media Group Inc.
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
IFCMARKETS. CORP
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Cryptec
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Ziptradex Limited
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Profit Earn
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Euroasia Global International Financial Corporation
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
OPTMiners.com
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
First City Markets Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
i-Coin
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
BTCExch
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Richfield Capital Limited dba Analysed Options
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Paxful, Inc.
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Pegasus Global Trading Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
TradexOption
|
British Columbia Securities Commission |
British Columbia
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
investmentfacts.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200821
21 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
uk-investment-market.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200821
21 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.ydqhgj.com
|
Securities and Futures Commission |
Hong Kong
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.sssssx.com
|
Securities and Futures Commission |
Hong Kong
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.afomanagement.com
|
Securities and Futures Commission |
Hong Kong
|
20200821
21 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.gold8financialexchange.com; www.gold8services.com and www.gold8institute.com
|
Financial Markets Authority |
New Zealand
|
20200821
21 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
We advise caution when dealing with these websites as they are not associated with, or authorised by, the New Zealand registered companies Gold8 Financial Services Limited and/or Gold 8 Services Limited.
|
|
SJCF Investments
|
Financial Conduct Authority |
United Kingdom
|
20200820
20 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Dr. Khaled Al-Maliki t/a KHM Law
|
Financial Conduct Authority |
United Kingdom
|
20200820
20 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK Fixed Rate Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200820
20 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Royalstox a trading style of Marom Partners Limited
|
Financial Conduct Authority |
United Kingdom
|
20200820
20 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
DCD London and Mutual (clone of UK registered public company)
|
Financial Conduct Authority |
United Kingdom
|
20200820
20 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Ivory Option
|
Financial Markets Authority |
New Zealand
|
20200820
20 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
RB Options
|
Financial Markets Authority |
New Zealand
|
20200820
20 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Digital Market Xchange
|
Financial Conduct Authority |
United Kingdom
|
20200819
19 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Swissone Group Ltd
|
Polish Financial Supervision Authority |
Poland
|
20200819
19 Aug 2020
|
Miscellaneous |
The Chair of the KNF Board joined the proceedings initiated by another entity.
|
|
Global Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20200819
19 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
“Tfx25”, “ProConsultingInvest”, Digital Exchange Limited and Securex Plus Solutions EOOD, Platiniumfund Ltd, Maxi Services Ltd, Gntfin LTD, DirectaFx Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200819
19 Aug 2020
|
Miscellaneous |
Consob has ordered the black-out of 7 new websites that offer financial services illegally.
more
|
|
Polins Sp z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20200818
18 Aug 2020
|
Miscellaneous |
No additional comments posted.
|
|
IS-R InternetServices-Reinders, Vivaexchange Oü, Mindcapital Oü, Ganancias Deportivas
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200818
18 Aug 2020
|
Miscellaneous |
Consob has ordered the blackout of 4 new websites that illegally offer financial services/financial products, and in particular 3 sites through which an offer of financial products is made in the absence of a prospectus and 1 site through which the a
more
|
|
Glaser Financial Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200818
18 Aug 2020
|
Miscellaneous |
No additional comments posted.
|
|
Interfox Commercial Limited (the entity operates under the business name Stockxm - www.stockxm.com and Myinvests – www.myinvests.pl)
|
Polish Financial Supervision Authority |
Poland
|
20200818
18 Aug 2020
|
Miscellaneous |
Notification under Article 178 in conjunction with Article 69(2) point 6 of the Act on trading in financial instruments. Notification made by the UKNF.
|
|
UK Fixed Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200817
17 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
UK Bond Finder
|
Financial Conduct Authority |
United Kingdom
|
20200817
17 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Apera Asset Management (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200817
17 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Integral Asset Management (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200817
17 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Britannia Management (Clone of FCA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200817
17 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Mitchell Johnson Wealth (Clone of an EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200817
17 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Panther Loans (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200817
17 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Loan Portals (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200817
17 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Morgan Stanley Investment Management (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200817
17 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK Bond Society
|
Financial Conduct Authority |
United Kingdom
|
20200817
17 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Switzfund
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200817
17 Aug 2020
|
Miscellaneous |
No additional comments posted.
|
|
The Easy Loans
|
Financial Conduct Authority |
United Kingdom
|
20200817
17 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fairtrade International AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200817
17 Aug 2020
|
Miscellaneous |
No additional comments posted.
|
|
GCE Capitals
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200817
17 Aug 2020
|
Miscellaneous |
No additional comments posted.
|
|
Bitalium
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200817
17 Aug 2020
|
Miscellaneous |
No additional comments posted.
|
|
Trade FXX
|
Financial Conduct Authority |
United Kingdom
|
20200814
14 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
FX Master/ Connie Fitch
|
Financial Conduct Authority |
United Kingdom
|
20200814
14 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Bonds Today
|
Financial Conduct Authority |
United Kingdom
|
20200814
14 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
AAFX Capital
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200814
14 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ProCapitalMarkets
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200814
14 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Best Bonds Now
|
Financial Conduct Authority |
United Kingdom
|
20200814
14 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
UK Bonds Shop
|
Financial Conduct Authority |
United Kingdom
|
20200814
14 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
British Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200814
14 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Parantoux Trading
|
Financial Conduct Authority |
United Kingdom
|
20200814
14 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Whitestone Consultancy Services LLC
|
Financial Conduct Authority |
United Kingdom
|
20200813
13 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
www.xc333333.com
|
Securities and Futures Commission |
Hong Kong
|
20200813
13 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
The Mayhill Agency (TMA)
|
Financial Markets Authority |
New Zealand
|
20200813
13 Aug 2020
|
Miscellaneous |
No additional comments posted.
|
|
Global Investment Bank & Capital Trust
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200812
12 Aug 2020
|
Miscellaneous |
No additional comments posted.
|
|
Hunters and Jacobs Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20200812
12 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
National Bond Advice / www.nationalbondadvice.com
|
Financial Conduct Authority |
United Kingdom
|
20200812
12 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Baker & McKenzie Consultants
|
Financial Conduct Authority |
United Kingdom
|
20200812
12 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
www.zyqhpz.com
|
Securities and Futures Commission |
Hong Kong
|
20200812
12 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Hongkong Aisite Services Limited / Aisite Services Limited
|
Securities and Futures Commission |
Hong Kong
|
20200812
12 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Werty
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200811
11 Aug 2020
|
Miscellaneous |
No additional comments posted.
|
|
BitQT
|
Financial Market Authority |
Austria
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
BSB Global / Lotens Partners LTD
|
Financial Market Authority |
Austria
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Victoria Finance LLC
|
Financial Market Authority |
Austria
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Tradixa Ltd
|
Financial Market Authority |
Austria
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
GFX Royal (Capital Letter GmbH / Capital Letter Ltd)
|
Financial Market Authority |
Austria
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Starlingfe LTD
|
Financial Market Authority |
Austria
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
HKFXMT International Limited
|
Financial Market Authority |
Austria
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
HBCmarket / HBC Market Ltd
|
Financial Market Authority |
Austria
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Markets.Online / Markets Online
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ForexGrowths (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Navifx (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Advance Credit Union (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Sterling ISA Managers (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ASSURANCES DVK (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Capital Financial Management (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
So-Fortkredit (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ETX Capital Global (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
PMB Capital (Clone of an FCA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Dominion Financial Assets (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Assurix Asset Management (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Invesco UK / Invesco Asset Management (Clone of FCA Authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Mercer Alternatives (Clone of FCA and EEA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Ellison Partners (claims to be trading name of Amsterdams Effectenkantoor B.V.)
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bleaxmond a trading style of Alephlink Solutions Limited
|
Financial Conduct Authority |
United Kingdom
|
20200811
11 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
www.silvertree-hk.com
|
Securities and Futures Commission |
Hong Kong
|
20200811
11 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
http://aa.xiaoliangxin.top
|
Securities and Futures Commission |
Hong Kong
|
20200811
11 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
HTTPS://MARKETSDOCK.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
DINENGO PARTNERS LTD
|
|
BITCOIN BANK
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://SECUREDBTCDEAL.COM/
|
|
IMPERIAL FINANCE
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://IMPERIAL-FINANCE.CO/ES
|
|
HTTPS://HUBTRADER.COM/ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FIVE C LTD
|
|
HTTPS://INSURE-TRADE.IO/ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MITZ HOLDINGS LTD
|
|
BITCOIN BILLIONAIRE
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://BTCBILLIONAIRE-APP.COM
|
|
AMEX FINANCIALS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://AMEX-FINANCIALS.COM/
|
|
BITCOINMININGFXTRADES LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://BITCOINMININGFXTRADES.COM/
|
|
HTTPS://WEXNESS.IO/ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GOZALA ENTERPRISE LTD
|
|
HTTPS://AXEDO.CO
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
NORMASK GROUP LTD
|
|
COPIO TRADING
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.COPIOTRADING.COM
|
|
www.keerao.com
|
Securities and Futures Commission |
Hong Kong
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.brimstoneasset.com
|
Securities and Futures Commission |
Hong Kong
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Everest Holdings Group
|
Securities and Futures Commission |
Hong Kong
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Zhongmin International Futures
|
Securities and Futures Commission |
Hong Kong
|
20200810
10 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Any Use Loan UK
|
Financial Conduct Authority |
United Kingdom
|
20200807
07 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
FairBit / Fair-Bit
|
Financial Conduct Authority |
United Kingdom
|
20200807
07 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Financial & Risk Organisation Limited (clone of UK registered company)
|
Financial Conduct Authority |
United Kingdom
|
20200807
07 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Centara Management & Fund
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200807
07 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Hornet Groupe
|
Financial Conduct Authority |
United Kingdom
|
20200807
07 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Bitmarket
|
Financial Markets Authority |
New Zealand
|
20200807
07 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
TFR Global and Merlin Biotechnologies
|
Financial Markets Authority |
New Zealand
|
20200807
07 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
My Safe Market / mysafemarket
|
Financial Conduct Authority |
United Kingdom
|
20200806
06 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Profitstrade / Profits Trade
|
Financial Conduct Authority |
United Kingdom
|
20200806
06 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
My Coin Elite
|
Financial Conduct Authority |
United Kingdom
|
20200806
06 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Cash valley
|
Financial Conduct Authority |
United Kingdom
|
20200806
06 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
亞思科財富 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20200806
06 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
http://47.244.217.141
|
Securities and Futures Commission |
Hong Kong
|
20200806
06 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.ruidafts.com
|
Securities and Futures Commission |
Hong Kong
|
20200805
05 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
EGM Finance
|
Financial Conduct Authority |
United Kingdom
|
20200805
05 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
www.yingtouib.com
|
Securities and Futures Commission |
Hong Kong
|
20200805
05 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Income class
|
Financial Conduct Authority |
United Kingdom
|
20200805
05 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
UMARKETS
|
Financial Conduct Authority |
United Kingdom
|
20200805
05 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Financial Claim Services
|
Financial Conduct Authority |
United Kingdom
|
20200805
05 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Great Motivation International
|
Financial Markets Authority |
New Zealand
|
20200805
05 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
SCK Securities
|
Financial Conduct Authority |
United Kingdom
|
20200804
04 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
www.gmotob.cn
|
Securities and Futures Commission |
Hong Kong
|
20200804
04 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.redfordfx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200803
03 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
trade.redfordfx.com
more
|
|
www.normancapitalgroup.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200803
03 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BALI LIMITED
more
|
|
King Bonds Group
|
Financial Conduct Authority |
United Kingdom
|
20200803
03 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Tendo Loan (clone of an FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200803
03 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Farallon capital LLC (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200803
03 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Henderson and Partners (Clone of FCA Authorised Firm)
|
Financial Conduct Authority |
United Kingdom
|
20200803
03 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bank of Ireland
|
Financial Conduct Authority |
United Kingdom
|
20200803
03 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fortis Investment Management
|
Financial Conduct Authority |
United Kingdom
|
20200803
03 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Goldman Banc
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200803
03 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Capital Investment Broker (CIBfx)
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200803
03 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
TradeMarkets Exchange
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200803
03 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Probitfx
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200803
03 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
55CMT
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200803
03 Aug 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Uksavingssociety.com
|
Financial Conduct Authority |
United Kingdom
|
20200803
03 Aug 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Platforms Trending Graphs
|
Polish Financial Supervision Authority |
Poland
|
20200731
31 Jul 2020
|
Miscellaneous |
The entity is not registered in Poland.
|
|
Secure UK Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200731
31 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
website https://dunhillwealthadvisory.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200731
31 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Goldlen Trees
|
Financial Conduct Authority |
United Kingdom
|
20200731
31 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Hope Securities
|
Financial Conduct Authority |
United Kingdom
|
20200731
31 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Jordan Peter Heyward t/a @TradewithJordanfx & Heyward Marketing Ltd / SIGNIFX
|
Financial Conduct Authority |
United Kingdom
|
20200731
31 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Hemingway Global Capital
|
Financial Conduct Authority |
United Kingdom
|
20200731
31 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Stretton Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20200731
31 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Ahrenfels Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200730
30 Jul 2020
|
Miscellaneous |
No additional comments posted.
|
|
Wilmess Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200730
30 Jul 2020
|
Miscellaneous |
No additional comments posted.
|
|
website https://merceralternatives.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200730
30 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Pure M Global Limited, Trade Com Limited, Level Up Capital Ltd, Terratech Ltd, Capoinvest Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200730
30 Jul 2020
|
Miscellaneous |
Consob has ordered the black-out of 5 new websites that offer financial services illegally.
more
|
|
Money and Debt Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20200730
30 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
securabonds.com
|
Financial Conduct Authority |
United Kingdom
|
20200729
29 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Cortez Capital Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20200729
29 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
www.stepwithchanges.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200729
29 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Tradixa, AJ Asset, One Thousand One, Swissinv24, Uptos
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200729
29 Jul 2020
|
Miscellaneous |
Consob has ordered the black-out of 5 new websites that offer financial services illegally.
more
|
|
10CryptoMarket / 10CryptoMarket.com / Joshua Development Limited
|
Financial Market Authority |
Austria
|
20200729
29 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
HydraPay / Jol Pay Ltd
|
Financial Market Authority |
Austria
|
20200729
29 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
erstemarkets.com
|
Financial Market Authority |
Austria
|
20200729
29 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.simplex-finance.com
|
Financial Market Authority |
Austria
|
20200729
29 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Sharefounders Ltd
|
Financial Market Authority |
Austria
|
20200729
29 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.afbauerpvt.com
|
Financial Market Authority |
Austria
|
20200729
29 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
YORKCG
|
Financial Market Authority |
Austria
|
20200729
29 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Huber Group Invest
|
Financial Market Authority |
Austria
|
20200729
29 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
BannerPeak
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200728
28 Jul 2020
|
Miscellaneous |
No additional comments posted.
|
|
Signum Finanz LLC
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200728
28 Jul 2020
|
Miscellaneous |
No additional comments posted.
|
|
website www.advanzia-credit.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200728
28 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Pure-Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200728
28 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ITI Capital Limited/ Itistocks brokers
|
Financial Conduct Authority |
United Kingdom
|
20200728
28 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Step Change Contact Number
|
Financial Conduct Authority |
United Kingdom
|
20200728
28 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Swissfx24
|
Financial Conduct Authority |
United Kingdom
|
20200728
28 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Surety & Guarantee Services Limited
|
Financial Conduct Authority |
United Kingdom
|
20200728
28 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
StepStone Credits
|
Financial Conduct Authority |
United Kingdom
|
20200728
28 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
AlphaPrime
|
Financial Conduct Authority |
United Kingdom
|
20200728
28 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
AlphaPrime / Alphaprime.cash
|
|
Titanium Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20200728
28 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
HKJSSHENGFX Corporation / Jiasheng Asia Pacific Ltd / HongKong Jiashengyatai Group Limited / DfcfFX International Group Ltd
|
Securities and Futures Commission |
Hong Kong
|
20200728
28 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.maxizoptions.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200727
27 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MAXIZOPTION
|
|
www.exmsolution.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200727
27 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
EXM SOLUTION LTD
|
|
https://bitsends.space/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200727
27 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CHOSI FINANCE LIMITED
|
|
International Markets Live LTD
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200727
27 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
E-Volve Global
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200727
27 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ILA International
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200727
27 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
IFX Banc / Ankor Group Investment
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200727
27 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Game Capital Ads Limited / 24PROinvestors
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200727
27 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
uk Bond Centre
|
Financial Conduct Authority |
United Kingdom
|
20200724
24 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
HKS Securities Limited
|
Securities and Futures Commission |
Hong Kong
|
20200724
24 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Edward Ricketts / TradingwithEDZ
|
Financial Conduct Authority |
United Kingdom
|
20200724
24 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bronze FX
|
Financial Conduct Authority |
United Kingdom
|
20200724
24 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK-Bond St
|
Financial Conduct Authority |
United Kingdom
|
20200723
23 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
www.qwjzfw.com
|
Securities and Futures Commission |
Hong Kong
|
20200723
23 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.hefengzq.cn
|
Securities and Futures Commission |
Hong Kong
|
20200723
23 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
First Property (formerly https://firstproperty.eu) – cloned firm
|
Financial Services and Markets Authority |
Belgium
|
20200723
23 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning
|
|
Capital-Placement (http://capital-placement.info)
|
Financial Services and Markets Authority |
Belgium
|
20200723
23 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning
|
|
Bitcoin Era
|
Financial Markets Authority |
New Zealand
|
20200723
23 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Nexus P Capital
|
Financial Conduct Authority |
United Kingdom
|
20200722
22 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Initial coin offering (ICO) by the entity Cash Flash,
|
Autorité des marchés financiers |
France
|
20200722
22 Jul 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF calls upon investors to be vigilant regarding an initial coin offering (ICO) by the entity Cash Flash, which is not authorised for marketing in France as it has not been approved by the AMF.
|
|
White Star Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200722
22 Jul 2020
|
Miscellaneous |
No additional comments posted.
|
|
Swiss Traders
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200722
22 Jul 2020
|
Miscellaneous |
No additional comments posted.
|
|
Bluesave/ Buen Solutions Ltd
|
Financial Conduct Authority |
United Kingdom
|
20200722
22 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Royal GTX
|
Financial Conduct Authority |
United Kingdom
|
20200722
22 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
WORLD MARKETS
|
Financial Conduct Authority |
United Kingdom
|
20200722
22 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Brock Holdings
|
Securities and Futures Commission |
Hong Kong
|
20200722
22 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.metatrader4.net.cn
|
Securities and Futures Commission |
Hong Kong
|
20200722
22 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
My Safe Market
|
Polish Financial Supervision Authority |
Poland
|
20200721
21 Jul 2020
|
Miscellaneous |
The entity is not registered in Poland.
|
|
Universal Markets
|
Polish Financial Supervision Authority |
Poland
|
20200721
21 Jul 2020
|
Miscellaneous |
The entity is not registered in Poland.
|
|
britainbonds.com
|
Financial Conduct Authority |
United Kingdom
|
20200721
21 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Credit Suisse AG / CSIF (Lux) (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200721
21 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Luxeforex (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200721
21 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Moneyfacts (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200721
21 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Farallon Investments (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200721
21 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
CIMB Group (Clone of an FCA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200721
21 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
CruxINV/Crux24 (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200721
21 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Aviva Plc / Aviva Bonds Plc (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200721
21 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Alpha Sharpe (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200721
21 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Atlantic Capital Management (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200721
21 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Invest Wealth Solutions Ltd (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200721
21 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
PLATON FINANCIE TOOLS S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200720
20 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MYCAPITAL.IO
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200720
20 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CLIENT.MYCAPITAL.IO
more
|
|
CRYPTOZILLA
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200720
20 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://CRYPTOZILLA.WORLD/
|
|
FOREX BIRDS LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200720
20 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://FOREXBIRDS.COM/
|
|
WWW.COFINANCIAL.NET
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200720
20 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
DKG GROUP LTD
|
|
HTTPS://LUXEFOREX.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200720
20 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GLOBAL PEGASUS LTD
|
|
DBFX LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200720
20 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://DBFXTRADES.COM/ES/
|
|
REVOTRADE LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200720
20 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.REVOTRADE.COM
|
|
APPDINERO.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200720
20 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PAPILIO CAPITAL LTD
|
|
WWW.MOTTOFX.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200720
20 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CAPITEUS GLOBAL LTD
|
|
UNION STANDARD INTERNATIONAL GROUP PTY LTD - USGFX
|
Comissão de Valores Mobiliários |
Brazil
|
20200720
20 Jul 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website: “usgfx.com”
|
|
BINANCE FUTURES
|
Comissão de Valores Mobiliários |
Brazil
|
20200720
20 Jul 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:
more
|
|
Invest Connect
|
Financial Conduct Authority |
United Kingdom
|
20200720
20 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Renewable Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200720
20 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
RTFX Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20200720
20 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.zggj.top
|
Securities and Futures Commission |
Hong Kong
|
20200720
20 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Wolfs Fundusz Private Equity SA
|
Polish Financial Supervision Authority |
Poland
|
20200717
17 Jul 2020
|
Miscellaneous |
The Chair of the KNF Board joined the proceedings initiated by another entity.
|
|
Ferpay sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20200717
17 Jul 2020
|
Miscellaneous |
The Chair of the KNF Board joined the proceedings initiated by another entity.
|
|
Ferpay Ltd
|
Polish Financial Supervision Authority |
Poland
|
20200717
17 Jul 2020
|
Miscellaneous |
The Chair of the KNF Board joined the proceedings initiated by another entity.
|
|
Marshal Lion Consulting Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20200717
17 Jul 2020
|
Miscellaneous |
The Chair of the KNF Board joined the proceedings initiated by another entity.
|
|
Best Property Investment
|
Financial Conduct Authority |
United Kingdom
|
20200717
17 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK Bond St
|
Financial Conduct Authority |
United Kingdom
|
20200717
17 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Business activity conducted under the business name ‘ANDRZEJ RYĆ’
|
Polish Financial Supervision Authority |
Poland
|
20200716
16 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Insurance Brokerage Marlena Krześniak
|
Polish Financial Supervision Authority |
Poland
|
20200716
16 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Local Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200716
16 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Idea Online Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20200716
16 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Karatbars International GmbH, Karatbit Exchange
|
Ontario Securities Commission |
Ontario
|
20200716
16 Jul 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Intro Invest
|
Financial Conduct Authority |
United Kingdom
|
20200716
16 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Askobid
|
Financial Conduct Authority |
United Kingdom
|
20200716
16 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fixed Income First
|
Financial Conduct Authority |
United Kingdom
|
20200716
16 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
The Investor Supermarket
|
Financial Conduct Authority |
United Kingdom
|
20200716
16 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
http://hljyxt.com
|
Securities and Futures Commission |
Hong Kong
|
20200716
16 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.fujihk.hk
|
Securities and Futures Commission |
Hong Kong
|
20200716
16 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Introteamoption
|
Financial Conduct Authority |
United Kingdom
|
20200715
15 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bond-select
|
Financial Conduct Authority |
United Kingdom
|
20200715
15 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Introteamoption
|
Financial Conduct Authority |
United Kingdom
|
20200715
15 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Libra Markets/Libramarkets
|
Financial Markets Authority |
New Zealand
|
20200714
14 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Prometheus Ltd
|
Polish Financial Supervision Authority |
Poland
|
20200714
14 Jul 2020
|
Miscellaneous |
The Chairman of the KNF joined the proceedings initiated by another entity.
|
|
Forex Insiders also known as Forex Insiders Trading, Trading Insiders and Success Factory
|
Financial Markets Authority |
New Zealand
|
20200714
14 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
World Markets
|
Financial Markets Authority |
New Zealand
|
20200714
14 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
StarkMarkets
|
Financial Markets Authority |
New Zealand
|
20200714
14 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
THE PREMIUM BROKERS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200713
13 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PREMIUM SOLUTIONS LTD
more
|
|
CCAI LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200713
13 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.TOPCMARKET.COM
|
|
SIMPLE500
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200713
13 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TURBO TRADING LTD
more
|
|
FIDLO INTERNATIONAL LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200713
13 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://FIDLOINTERNATIONAL.COM/
|
|
CRYPTON BROKER LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200713
13 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://CRYPTONBROKER.COM/
|
|
COIN DESK OPTION
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200713
13 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://COINDESKOPTION.COM/
|
|
CMARKET
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200713
13 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://CMARKET.CC/ES/
|
|
STOCK SONS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200713
13 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://STOCKSONS.COM/
|
|
EMPIRE INVESTMENT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200713
13 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://EMPIREINVESTMENT.ORG/
|
|
Step Clear From Debts
|
Financial Conduct Authority |
United Kingdom
|
20200713
13 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
7 Online/Red Rock Ltd
|
Financial Conduct Authority |
United Kingdom
|
20200713
13 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bond Select UK / selectbonds.uk
|
Financial Conduct Authority |
United Kingdom
|
20200713
13 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Compare Bond / compare-bond
|
Financial Conduct Authority |
United Kingdom
|
20200713
13 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.futu898.com
|
Securities and Futures Commission |
Hong Kong
|
20200713
13 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.tdgj.vip
|
Securities and Futures Commission |
Hong Kong
|
20200713
13 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Axeinvest
|
Finansinspektionen |
Sweden
|
20200710
10 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.axeinvest.org
more
|
|
Quotatrade
|
Finansinspektionen |
Sweden
|
20200710
10 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Create Capital Invest
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200710
10 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
bond compare UK
|
Financial Conduct Authority |
United Kingdom
|
20200710
10 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.eddids.com
|
Securities and Futures Commission |
Hong Kong
|
20200710
10 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Swiss Market
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200710
10 Jul 2020
|
Miscellaneous |
No additional comments posted.
|
|
Ambic Royal Trust Bank Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200710
10 Jul 2020
|
Miscellaneous |
No additional comments posted.
|
|
PCASH
|
Financial Market Authority |
Austria
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Undry Asset Management GmbH
|
Financial Market Authority |
Austria
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
MyCoin Banking / MyCryptoWallet LTD
|
Financial Market Authority |
Austria
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
LionsFM
|
Financial Market Authority |
Austria
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
GCG 24
|
Financial Market Authority |
Austria
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
PremiumBorsa
|
Financial Market Authority |
Austria
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Pennyworth Investments Limited
|
Financial Market Authority |
Austria
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
ANB Express Bank Limited
|
Financial Market Authority |
Austria
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
KLDC Technical Systems (“BitcapCM”)
|
Financial Market Authority |
Austria
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Brokermasters
|
Financial Market Authority |
Austria
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Needful Markets
|
Financial Market Authority |
Austria
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Beekash Payment Solutions, s.r.o.
|
Czech National Bank |
Czech Republic
|
20200709
09 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Czech National Bank wishes to warn the public that Beekash Payment Solutions, s.r.o., company ID number 062 79 619, which is offering payment services via a web presentation at https://www.beekash.net/, had its authorisation to provide payment se
more
|
|
First Brokers
|
Financial Conduct Authority |
United Kingdom
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
OFC Markets
|
Financial Conduct Authority |
United Kingdom
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Sadi Finance
|
Financial Conduct Authority |
United Kingdom
|
20200709
09 Jul 2020
|
Miscellaneous |
No additional comments posted.
|
|
Interactive Trade
|
Financial Conduct Authority |
United Kingdom
|
20200709
09 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Jordan Limited
|
Securities and Futures Commission |
Hong Kong
|
20200709
09 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
fixedrate-bonds.net
|
Financial Conduct Authority |
United Kingdom
|
20200708
08 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Advisors Network LLC
|
Financial Conduct Authority |
United Kingdom
|
20200708
08 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Secura Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200708
08 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
MottoFX
|
Financial Conduct Authority |
United Kingdom
|
20200708
08 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
bondcomparison
|
Financial Conduct Authority |
United Kingdom
|
20200708
08 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Jamie Trades FX
|
Financial Conduct Authority |
United Kingdom
|
20200708
08 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Business Choice Partners Group
|
Financial Conduct Authority |
United Kingdom
|
20200708
08 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Investor Guard
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
UK Bond Society
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
EasyLoan4U
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Lend Finance
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Debt Struggles
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Stratis Finance / Stratis Financial
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Step Debt Free
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
SSITE International Limited
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ajassetmanagement and banque2crypto (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Report Accident Claim
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Bestbonds-UK (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
The Money Supermarket (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
J and E Davy/J&E Davy/Jane Davy (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Pension Cash Now
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Windsor Manor
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
StockotradeFX \ Ultimatecryptofx \ Tradevibefx (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Keycroft Investments (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Creditstar UK Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
DQN Capital (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Tradewell / Bridgehold Ltd
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Compare ISA / Clicksco Digital Limited
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Hh Trading Group
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Pillar Property Group
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Tribely (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Ellis Finance
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Investteck
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Amana Trade/ AmanaTrade (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
European Investment Trading
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
InteliSure
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
STI-Global
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Platinum CFD
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
FXFinest
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Trade 100 FM
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
JMS Invest / JMS Equities
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Affinity Group Investing (a trading style of MSgroup Limited)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Emsworth Alternatives
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
CFreserve (a trading style of Imperial App Limited)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Omega FX
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Investing Capital (a trading style of Dream Equity Ltd)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
T.U Markets Limited t/a Trading Underground
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Total Financial Solutions
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Ouroneclub
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Kodimax
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Alter Capital
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Ibex Prime (a trading style of General Media OU)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Any1Profits
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Gce Capitals
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
VetoroBanc
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Trafalgar Group (clone of UK registered public company)
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
chloehenx / chloefxtrades
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
A.B.Capitals
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
@ceo.ardy \ @haleemlifts
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Forex Boss Ahmed
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Platinum Forex Signals
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Quantom Capital a trading style of Protiviti International Limited
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Marketrip
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Stellar Capitals
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
4Rex Prime Ltd t\a Standard Bit Option
|
Financial Conduct Authority |
United Kingdom
|
20200707
07 Jul 2020
|
Miscellaneous |
No additional comments posted.
|
|
CLUB DEL ANGEL FUNDING, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200706
06 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.ANGELCLUB.ES
|
|
WELLINGTON MANAGEMENT EUROPE (CLON)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200706
06 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WELLINGTON MANAGEMENT GROUP
more
|
|
BITCOIN FUTURE WEB SOFT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200706
06 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://BITCOINFUTUREWEBSOFT.COM/
|
|
PLATINUM TRADE INVESTMENT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200706
06 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://PLATINUMTRADEINVESTMENT.COM/
|
|
WWW.EXPERTFX.NET/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200706
06 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ATS - AUTOMATED TRADING SYSTEMS
|
|
BINARY EXPERT OPTION
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200706
06 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.BINARYEXPERTOPTION.COM/
|
|
Active Capital Asset Managers (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200706
06 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Kingsbridge Capital Advisors Limited (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200706
06 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Kronos Invest/KronosInvest(Clone of a Formerly Authorised EEA Firm)
|
Financial Conduct Authority |
United Kingdom
|
20200706
06 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Cash4u (Clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20200706
06 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Hanseatic Financial Services (clone of formerly EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200706
06 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
ML Capital Asset Management (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200706
06 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Old Mutual Wealth (Clone of FCA Authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20200706
06 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Paydayloansnow Lender Ltd / Paydaloansnow Ltd (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200706
06 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Bondcomparisonsite.com
|
Financial Conduct Authority |
United Kingdom
|
20200706
06 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Union Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200706
06 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Bond Compare/ Compare the Bond Market
|
Financial Conduct Authority |
United Kingdom
|
20200703
03 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK secure Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200703
03 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Simplex Finance / Simplex Financial
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200703
03 Jul 2020
|
Miscellaneous |
No additional comments posted.
|
|
Bennet Global
|
Securities and Futures Commission |
Hong Kong
|
20200703
03 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Ethereum-Global
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200702
02 Jul 2020
|
Miscellaneous |
No additional comments posted.
|
|
Brock Holdings
|
Finansinspektionen |
Sweden
|
20200702
02 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Comtrade Financial
|
Finansinspektionen |
Sweden
|
20200702
02 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Five Pines Capital
|
Finansinspektionen |
Sweden
|
20200702
02 Jul 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
DOLPHIN CORP. - BINOMO
|
Comissão de Valores Mobiliários |
Brazil
|
20200701
01 Jul 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:
more
|
|
FXGLOBE LTD
|
Comissão de Valores Mobiliários |
Brazil
|
20200701
01 Jul 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:
more
|
|
AirBit Club
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200701
01 Jul 2020
|
Miscellaneous |
Consob has suspended the offer to the public resident in Italy of investments of a financial nature made by “AirBit Club” and through the websites https://airbitclub.com and www.bitbackoffice.com pursuant to Article 99, paragraph 1 d), of the Italian
more
|
|
Unauthorised atypical investments
|
Autorité des marchés financiers |
France
|
20200701
01 Jul 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The Autorité des Marchés Financiers has updated its black lists of new websites and entities proposing atypical investments to investors in France without being authorized to do so.
|
|
Traderking
|
Financial Conduct Authority |
United Kingdom
|
20200701
01 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Invcenter
|
Financial Conduct Authority |
United Kingdom
|
20200701
01 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Business Choice Partners Group Limited
|
Financial Markets Authority |
New Zealand
|
20200701
01 Jul 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Forexbullish
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200630
30 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
500-index
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200630
30 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
bestinvestmentbonds.com
|
Financial Conduct Authority |
United Kingdom
|
20200630
30 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
World Markets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200630
30 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
源泰國際金控股份有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20200630
30 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
http://bwgfnhk.com
|
Securities and Futures Commission |
Hong Kong
|
20200630
30 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
HTTPS://PRIMEFUNDER.CO
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
NORMASK GROUP LTD
|
|
CTXPRIME
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
RMD DEVELOPMENTS LTD
more
|
|
WWW.BITCOINSYSTEMWEBSOFT.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
PROYECTOS BLO XXI SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.BLOINTERACTIVE.COM
|
|
SWING MARKETS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://SWINGMARKETSCFD.COM/
|
|
IFP MARKETS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://IFPMARKETS.COM/
|
|
WWW.BTCTRADINGS.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.BTC-TRADINGS.COM
|
|
WWW.AEOBINVESTING.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
SAVI HOLDINGS LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://FXREVOLUTION.IO/ES
|
|
website www.luxxcapital.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CashExit
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from CashExit. This company is a suspected boiler room. CashExit has approached persons without being asked, to offer them investment proposals. A boil
more
|
|
Needful Markets
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Needful Markets. This company is a suspected boiler room. Needful Markets has approached persons without being asked, to offer them investment pr
more
|
|
24PrimeOption
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from 24PrimeOption. This company is a suspected boiler room. 24PrimeOption has approached persons without being asked, to offer them investment proposa
more
|
|
Smartfxcointrade
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Smartfxcointrade. This company is a suspected boiler room. Smartfxcointrade has approached persons without being asked, to offer them investment p
more
|
|
Lions FM trading under the name EQUAL TARGET LTD
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Lions FM trading under the name EQUAL TARGET LTD. This company is a suspected boiler room. Lions FM trading under the name EQUAL TARGET LTD has ap
more
|
|
Unauthorised websites offering trading in forex and crypto-asset derivatives
|
Autorité des marchés financiers |
France
|
20200629
29 Jun 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF and the ACPR warn the public against the activities of several entities proposing in France via their websites, without being authorized to do so, forex investments and investment services in crypto-assets derivatives.
|
|
FOPU (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200629
29 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Online Union (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200629
29 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Hyde Park Investment Ltd (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200629
29 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Atlas Funding Group Ltd (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200629
29 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
BoerseFX (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200629
29 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Man Pro Fund / ManGroup (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200629
29 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Independent Wealth Brokers (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200629
29 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Latitudefx / Latitude Investments FX Bank (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200629
29 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
SGZ Bank Ireland
|
Financial Conduct Authority |
United Kingdom
|
20200629
29 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Maxagon Kapital AB
|
Financial Conduct Authority |
United Kingdom
|
20200629
29 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
First Capital Finance Ltd (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200629
29 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Global FX International LP
|
Securities and Futures Commission |
Hong Kong
|
20200629
29 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
JK Digital Media Ltd
|
Financial Conduct Authority |
United Kingdom
|
20200627
27 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bondafy.com
|
Financial Conduct Authority |
United Kingdom
|
20200627
27 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Allow Loans
|
Financial Conduct Authority |
United Kingdom
|
20200627
27 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
British Market
|
Financial Conduct Authority |
United Kingdom
|
20200626
26 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
MoneyTreeInvestment
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200626
26 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Libra Markets
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200626
26 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
The Lenders
|
Financial Conduct Authority |
United Kingdom
|
20200626
26 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Market Makers Insider / MMI Forex
|
Australian Securities and Investments Commission |
Australia
|
20200626
26 Jun 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Australian Securities and Investments Commission is warning investors of a fake website and social media page called Makers Insider/MMI Forex that is misleading and scamming investors.
more
|
|
Compare Wise
|
Financial Conduct Authority |
United Kingdom
|
20200625
25 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Earnsured Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20200625
25 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
No additional comments posted.
|
|
Hedge Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200625
25 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
Investo Brokers
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200625
25 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
RMT500, FSM Smart Ltd, Findealadvisers, Platiniumfund Ltd, RL Ltd, Lead Secure Ltd, Sucaba Enterprise Ltd, Equalizer Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200625
25 Jun 2020
|
Miscellaneous |
Consob has ordered the black-out of 16 new websites that offer financial services illegally.
more
|
|
www.aintreefinance.com
|
Financial Markets Authority |
New Zealand
|
20200625
25 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
WDC Markets
|
Financial Markets Authority |
New Zealand
|
20200625
25 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
RSM Finance
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200624
24 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Crypto Trade Center Ltd
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200624
24 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Finexis Bank
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200624
24 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Mister Trader/ Mistertrader / Redfin Capital
|
Financial Conduct Authority |
United Kingdom
|
20200624
24 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
No additional comments posted.
|
|
Pyramidal structures offering training in trading
|
Autorité des marchés financiers |
France
|
20200624
24 Jun 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF is warning the public regarding pyramidal structures offering training courses in trading FX or cryptoassets.
|
|
Fixed Rate News
|
Financial Conduct Authority |
United Kingdom
|
20200624
24 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
the Bonds Company
|
Financial Conduct Authority |
United Kingdom
|
20200624
24 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Frisky Loans
|
Financial Conduct Authority |
United Kingdom
|
20200624
24 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
AnyTrades / www.anytrades.com / www.anytradesconsulting.com
|
Financial Conduct Authority |
United Kingdom
|
20200624
24 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Mentor Corp / www.mentorfx.com
|
Financial Conduct Authority |
United Kingdom
|
20200624
24 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
IAL Ltd
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200623
23 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
Aron Asset Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200623
23 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
Qualion Finance
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200623
23 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
Hunterlyinvest
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Skylinevest
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Cash2All (Clone of FCA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
UK Forex (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Credit Suisse Asset Management / Credit Suisse Group AG (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Alltus Capital (UK) LLP (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Torro Finanz (Clone of an EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CCP Investment (Clone of an EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Vantage Trades (clone of FCA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CryptoPlus Exchange (Clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Librac market/Libra Coin Market (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Hugo Vandevelde (Clone of a UK Authorised firm and an EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Legal & General / Legal & General Dynamic Bond Fund (clone)
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Frontier Markets Advisory (clone of authorised collective scheme)
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
BROKERMASTERS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200622
22 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.BROKERMASTERS.NET
more
|
|
FXFIXED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200622
22 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://FXFIXED.COM
|
|
ANKOR GROUP INVESTMENT LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200622
22 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://WWW.ZURICHBANC.COM
|
|
EXPANSSION
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200622
22 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.EXPANSSION.COM
|
|
TRADEPROFITWEB
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200622
22 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MOUNTAIN HIGH LTD
more
|
|
FXOPTIMAX LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200622
22 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.FXOPTIMAX.COM/
|
|
CRYPTO ENGINE
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200622
22 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://ES.CRYPTOENGINE.APP/
|
|
555MARKETS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200622
22 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GLAXTROX TRADE LTD
more
|
|
Ant PoolMining International
|
Central Bank of Ireland |
Ireland
|
20200622
22 Jun 2020
|
Miscellaneous |
Ant PoolMining International is not authorised to provide investment services to people in Ireland. The firm purports to be based in the USA.
|
|
Investments in car parks
|
Autorité des marchés financiers |
France
|
20200622
22 Jun 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The AMF warns the public against offers to invest in car parks, usually from websites that impersonate financial players or listed groups from the construction industry.
|
|
Bolt Finance
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Stock21stoptions Ltd
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200622
22 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Find UK Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
My-smartbonds.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200622
22 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Resolute Cryptotrading
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200619
19 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
Global Finance Flux
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200619
19 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
TRUCRYPTO S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20200619
19 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Company not registred
|
|
TRUST INESTING
|
Superintendencia del Mercado de Valores |
Panama
|
20200619
19 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Company not registred
|
|
Crowd1
|
Financial Services Commission |
Mauritius
|
20200619
19 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Bormancorp
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200619
19 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
eMarketsTrade
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200619
19 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
First Claims Group
|
Financial Conduct Authority |
United Kingdom
|
20200619
19 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Tan Allen Piguet Asset Management
|
Financial Services and Markets Authority |
Belgium
|
20200619
19 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Takahashi and Partners
|
Financial Services and Markets Authority |
Belgium
|
20200619
19 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
ABConseils-patrimoine.com
|
Financial Services and Markets Authority |
Belgium
|
20200619
19 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Crypto Window Ltd (the Scam Entity) / www.cryptoswindow.com (the Website)
|
Jersey Financial Services Commission |
Jersey
|
20200619
19 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
BNP Paribas Bank (the Scam Entity) / www.onlinebaripasbk.com (the Website) / info@bnpparibas-es.com (the Email Address)
|
Jersey Financial Services Commission |
Jersey
|
20200619
19 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Select Invest
|
Financial Conduct Authority |
United Kingdom
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
The Investmentheads
|
Financial Conduct Authority |
United Kingdom
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
CompareFixedRateBonds
|
Financial Conduct Authority |
United Kingdom
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Compare-bonds.net / Bond Comparison
|
Financial Conduct Authority |
United Kingdom
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Smart Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
MFSA Warning - Northway Brokers - Clone
|
Malta Financial Services Authority |
Malta
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MFSA Warning - ApexTrade Options Ltd – Unlicensed Exchange
|
Malta Financial Services Authority |
Malta
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MFSA Warning - MatrixFX Trade or MFXT Ltd – Unlicensed Exchange
|
Malta Financial Services Authority |
Malta
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MFSA Warning - GATE BROKERS LIMITED – Unlicensed Entity
|
Malta Financial Services Authority |
Malta
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MFSA Warning - Prime24Options (P24O LTD) – Unlicensed Entity
|
Malta Financial Services Authority |
Malta
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MFSA Warning - Libra Markets – Unlicensed Exchange
|
Malta Financial Services Authority |
Malta
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MFSA Warning - BTSave – Unlicensed Exchange
|
Malta Financial Services Authority |
Malta
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MFSA Warning - AtlasFMI – Unlicensed Exchange
|
Malta Financial Services Authority |
Malta
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
FMG Investment Holdings Ltd trading as ClearSpring Capital - Clone
|
Malta Financial Services Authority |
Malta
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Warning to the public regarding unlicensed VFA companies
|
Malta Financial Services Authority |
Malta
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ProuFX
|
Malta Financial Services Authority |
Malta
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
UMarkets
|
Malta Financial Services Authority |
Malta
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MFSA Warning regarding scam emails
|
Malta Financial Services Authority |
Malta
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
British-bonds.org.uk
|
Financial Conduct Authority |
United Kingdom
|
20200618
18 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
XDCF
|
Securities and Futures Commission |
Hong Kong
|
20200618
18 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.veritasfinance.net
|
Securities and Futures Commission |
Hong Kong
|
20200618
18 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.citiglobalhk.net
|
Securities and Futures Commission |
Hong Kong
|
20200618
18 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.txj-king.com
|
Securities and Futures Commission |
Hong Kong
|
20200618
18 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ILA International
|
Securities and Futures Commission |
Hong Kong
|
20200618
18 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Circle Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200617
17 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Aldgate-Advisors (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200617
17 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Quick L0ans (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200617
17 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
BWB Ireland Investment Management / B.W.B. Ireland (clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20200617
17 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Prudential Assurance Company / Prudential Distribution (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200617
17 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
AXA Global Broker (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200617
17 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Clyde Asset Management (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200617
17 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Standard Chartered Bank / Standard Chartered Bonds (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200617
17 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Swissquotes Ltd (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200617
17 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Instant Finance (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200617
17 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Noris Bank/Noris ISA (Clone of an EEA Authorised Firm)
|
Financial Conduct Authority |
United Kingdom
|
20200617
17 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Nateus Group (Clone of an EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200617
17 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Assurance Finance Patrimoine (Clone of an EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200617
17 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Ming Dao International Trade Limited
|
Securities and Futures Commission |
Hong Kong
|
20200617
17 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Investment Capital and Financial Regulatory Services
|
Securities and Futures Commission |
Hong Kong
|
20200617
17 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Global Finance, FX Gntfin LTD, Pro Consulting Invest, Warp Enterprise Ltd, SMART FX
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200616
16 Jun 2020
|
Miscellaneous |
Consob has ordered the black-out of 5 new websites that offer financial services illegally.
more
|
|
HW Securities
|
Financial Conduct Authority |
United Kingdom
|
20200616
16 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Actio-Conseil (formerly www.energie-dma-access.com and https://actio-conseil.com) – Cloned firm
|
Financial Services and Markets Authority |
Belgium
|
20200616
16 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning
|
|
https://www.mazda-int.com/
|
Financial Services and Markets Authority |
Belgium
|
20200616
16 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning
|
|
AGK Investments
|
Securities and Futures Commission |
Hong Kong
|
20200616
16 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.skywinprofit.com
|
Securities and Futures Commission |
Hong Kong
|
20200616
16 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Jitak Capital Limited
|
Securities and Futures Commission |
Hong Kong
|
20200616
16 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Investpedia
|
Financial Conduct Authority |
United Kingdom
|
20200615
15 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.damarkets.co
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200615
15 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
DA MARKETS
|
|
www.invertplus.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200615
15 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BALI LIMITED LTD
|
|
https://stockfx.co
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200615
15 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
STOCKFX
more
|
|
https://24news.trade/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200615
15 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://24news.tools/
more
|
|
Bit-Holdings
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200615
15 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
http://nygj.axunz.cn
|
Securities and Futures Commission |
Hong Kong
|
20200615
15 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Privilege Group International
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200612
12 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
Clarksdale Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200612
12 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
Kieren Hamilton / Whosthatguru / Keztheguru
|
Financial Conduct Authority |
United Kingdom
|
20200612
12 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
E-BUSINESS PARTNER Sp. z o.o
|
Polish Financial Supervision Authority |
Poland
|
20200612
12 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
fixed-rates.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200612
12 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
G&S Global Capital
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200612
12 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Best Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200611
11 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Bond Select
|
Financial Conduct Authority |
United Kingdom
|
20200611
11 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Investing in Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200611
11 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fraudulent online trading platforms
|
Financial Services and Markets Authority |
Belgium
|
20200611
11 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning on :
more
|
|
Carter Lee Financial Services
|
Financial Conduct Authority |
United Kingdom
|
20200611
11 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Note: This firm is using a name that a firm listed on The FCA Register has. The authorised firm named as Carter Lee Financial Services Limited (FRN 779727) based in Neath, Wales has no connections with the firm based in Malaysia.
|
|
Dunn & Burchill
|
Financial Conduct Authority |
United Kingdom
|
20200611
11 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Best Rate Savers
|
Financial Conduct Authority |
United Kingdom
|
20200611
11 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
https://www.marketcfd.com/
|
Polish Financial Supervision Authority |
Poland
|
20200610
10 Jun 2020
|
Miscellaneous |
The Chairman of the KNF joined the proceedings initiated by another entity.
|
|
UK Bonds Capital
|
Financial Conduct Authority |
United Kingdom
|
20200610
10 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Hamamatsu Merger Group
|
Financial Conduct Authority |
United Kingdom
|
20200610
10 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
SINUS CORRETORA DE COMMODITIES LTDA - A G DE SOUZA CORRETORA DE COMMODITIES E COMERCIO
|
Comissão de Valores Mobiliários |
Brazil
|
20200610
10 Jun 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:
more
|
|
British Bonds Company
|
Financial Conduct Authority |
United Kingdom
|
20200610
10 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.wealthbct.com
|
Securities and Futures Commission |
Hong Kong
|
20200610
10 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.kqwv.qp511.cn
|
Securities and Futures Commission |
Hong Kong
|
20200610
10 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.fuqiangsfa.com
|
Securities and Futures Commission |
Hong Kong
|
20200610
10 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Leadernet OU and FX Leader
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200609
09 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Bond Genie
|
Financial Conduct Authority |
United Kingdom
|
20200609
09 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
VIVAEXCHANGE OÜ / EXW
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200609
09 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
Bonds123.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200609
09 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Investment-point.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200609
09 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bruckmann Rosser
|
Financial Conduct Authority |
United Kingdom
|
20200609
09 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
World Markets
|
Financial Markets Authority |
New Zealand
|
20200609
09 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Suspected scam
|
|
WISE INVESTMENTS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200608
08 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Likewise, it warns of its linking with the website https://aurumprofin.cc, which was subject to warning by the CNMV dated 18/11/2019. Also, not to be confused with the entity WISE INVESTMENTS LTD, which is operating in Spain
more
|
|
www.glad2trade.io
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200608
08 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.glad2trade.cc
more
|
|
ASPEN Investment LLC
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200608
08 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
Which Bonds UK
|
Financial Conduct Authority |
United Kingdom
|
20200608
08 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200608
08 Jun 2020
|
Miscellaneous |
Consob has prohibited:
more
|
|
Alberto Simoni, UMO Finance Ltd, Global Top Marketing Ltd and Gps Marketing Ltd, Kleinman Enterprise Ltd, Vaneda Partners Ltd and Zeus Partnership OÜ, White Rock Partners Ltd, CobraCFD Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200608
08 Jun 2020
|
Miscellaneous |
Consob has ordered the black-out of 7 new websites: 5 abusive financial intermediation sites and 2 sites through which financial products are offered without a prospectus.
more
|
|
My Bonds Market
|
Financial Conduct Authority |
United Kingdom
|
20200606
06 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
London Bonds Company
|
Financial Conduct Authority |
United Kingdom
|
20200606
06 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
SMARTT FX (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Fidex Market (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
RAM Active Investments (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
RAM Active Investments (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Horizon Crest Credit Union (Clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
JCAM Investments Ltd (Clone of FCA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Delta Capitals (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Liberty Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Liberty Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
bond-checker
|
Financial Conduct Authority |
United Kingdom
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fixed Rates4u
|
Financial Conduct Authority |
United Kingdom
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Golden Sky Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200605
05 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
Huber Group Invest
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200605
05 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
Platinium Fund
|
Financial Conduct Authority |
United Kingdom
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Krenton Finance
|
Financial Conduct Authority |
United Kingdom
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Silk Assets Investments ltd.
|
Czech National Bank |
Czech Republic
|
20200605
05 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Czech National Bank wishes to warn the public about the activities of Silk Assets Investments ltd., which has no authorisation to provide investment services or any other financial market services in the Czech Republic, and its activities are not
more
|
|
Walter International
|
Securities and Futures Commission |
Hong Kong
|
20200605
05 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
IBC Financial
|
Securities and Futures Commission |
Hong Kong
|
20200605
05 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MetalsWise / MetalWise
|
Financial Markets Authority |
New Zealand
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Crowd1 and Impact Crowd Technology S.L.
|
Financial Markets Authority |
New Zealand
|
20200605
05 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Find Best Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200604
04 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
FxLinked Ltd, FxLinked (Sv) Ltd, FxLinked (Europa) Ltd and FxLinked (Seychelles), Kleinman Enterprise Ltd and Kleinman Services Ou, Maginito Services Ltd, Digital Exchange Limited and Securex Plus Solutions Eood, “CruxInv”
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200604
04 Jun 2020
|
Miscellaneous |
CONSOB has ordered the black-out of 7 new websites that offer financial services illegally. The commission availed itself of the powers resulting from the ‘Decreto Crescita’ (‘Growth Decree’; Law no. 58 of 28 June 2019, article 36, paragraph 2-terdec
more
|
|
website https://energie-spot.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200604
04 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Thomas Ast Capital (Clone of EEA firm)
|
Financial Conduct Authority |
United Kingdom
|
20200604
04 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
ETX Capital (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200604
04 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Invicta Financial Services (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200604
04 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
M&G Investments / M&G Securities (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200604
04 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Barings / Baring Asset Management (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200604
04 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
UBS Asset Management (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200604
04 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Macquarie Capital (Clone of FCA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200604
04 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Falcon Fund Management (Clone of an EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200604
04 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
www.huayafx.com
|
Securities and Futures Commission |
Hong Kong
|
20200604
04 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
RAM Active Investments (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20200603
03 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
UK National Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200603
03 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Thortons Global
|
Financial Conduct Authority |
United Kingdom
|
20200603
03 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
123bond.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200603
03 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
cleverinvestors.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200603
03 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Elektronik Service AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200603
03 Jun 2020
|
Miscellaneous |
No additional comments posted.
|
|
One Thousand One Ltd, Game Capital Ads, StsRoyal Ltd and Capital Letter Gmbh, BitFxMarkets, Cnbsfin Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200603
03 Jun 2020
|
Miscellaneous |
Consob has ordered the black-out of 5 new websites that offer financial services illegally.
more
|
|
Bitcoin-Trader, Platinumpro Investment Ltd, Zurichbanc Ltd, Swissgems Ltd and Media Solutions Ltd, Uptos Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200603
03 Jun 2020
|
Miscellaneous |
Consob has ordered the black-out of 5 new websites that offer financial services illegally.
more
|
|
ISA Search
|
Financial Conduct Authority |
United Kingdom
|
20200602
02 Jun 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
https://es.wforex.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200601
01 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
EXISTRADE LTD
|
|
www.umarketspro.net/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200601
01 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Universal Markets
more
|
|
https://trustinvesting.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200601
01 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Trust Investing
|
|
https://fx-gen.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200601
01 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FXGEN LTD
|
|
www.cvcmarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200601
01 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CVC MARKETS
|
|
www.cabanacapitals.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200601
01 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CABANA CAPITALS LIMITED
|
|
https://atirox.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200601
01 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ATIROX INC
|
|
www.navitasmarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200601
01 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
NAVITAS MARKETS
more
|
|
www.grandefex.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200601
01 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GRANDEFEX
more
|
|
www.inverten.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200601
01 Jun 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
LCP Fund
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200529
29 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
PPSA Europe Investments Consulting
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200529
29 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
United Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200529
29 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Bond Office
|
Financial Conduct Authority |
United Kingdom
|
20200529
29 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Compare-Free
|
Financial Conduct Authority |
United Kingdom
|
20200529
29 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
British Bond Capital
|
Financial Conduct Authority |
United Kingdom
|
20200529
29 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
First City Markets
|
Ontario Securities Commission |
Ontario
|
20200528
28 May 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
First City Markets, found at www.firstcitymarkets.com, is not registered in Ontario to engage in the business of trading in securities.
|
|
UK Property Bonds / Compare Property Investments
|
Financial Conduct Authority |
United Kingdom
|
20200528
28 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Wealth Capital (Astra Consulting OU)
|
Financial Market Authority |
Austria
|
20200528
28 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
KWS Investments LLC
|
Financial Market Authority |
Austria
|
20200528
28 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Search-investments.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200528
28 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
HARRISON INVESTIMENTOS
|
Comissão de Valores Mobiliários |
Brazil
|
20200527
27 May 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:
more
|
|
National British Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200527
27 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
GLASTROX TRADE LTD - FGMARKETS
|
Comissão de Valores Mobiliários |
Brazil
|
20200527
27 May 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:
more
|
|
GRYPHON FINANCIAL SERVICES
|
Comissão de Valores Mobiliários |
Brazil
|
20200527
27 May 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:
more
|
|
PEPPERSTONE GROUP LIMITED
|
Comissão de Valores Mobiliários |
Brazil
|
20200527
27 May 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:
more
|
|
CIBFX LIMITED
|
Comissão de Valores Mobiliários |
Brazil
|
20200527
27 May 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:
more
|
|
AVA TRADE LTD
|
Comissão de Valores Mobiliários |
Brazil
|
20200527
27 May 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:
more
|
|
Website www.findealadvisers.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200527
27 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CAPITALIA LIMITED - TRADEAR
|
Comissão de Valores Mobiliários |
Brazil
|
20200527
27 May 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website: https://www.tradear.com
|
|
Hardman & Brookes
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200527
27 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
ESOS International Ltd. and KADEKY INTERNATIONAL s.r.o.
|
Czech National Bank |
Czech Republic
|
20200527
27 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Czech National Bank wishes to warn the public about the activities of the company ESOS International Ltd. and the company KADEKY INERNATIONAL s.r.o., which are offering trading in investment instruments via a trading platform in a web presentatio
more
|
|
The Profit Prince
|
Financial Conduct Authority |
United Kingdom
|
20200526
26 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
www.globalminingscity.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200526
26 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GLOBALMININGSCITY LTD
|
|
www.fxtradeprofit.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200526
26 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FXTRADEPROFIT LTD
|
|
www.tradixa.co/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200526
26 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TRADIXA LTD
|
|
www.virtualstocks.co
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200526
26 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.virtualstocks.cc
more
|
|
Trado Tek
|
Finansinspektionen |
Sweden
|
20200526
26 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Girofx
|
Finansinspektionen |
Sweden
|
20200526
26 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
LCP Fund
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200526
26 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
Investinghub.co.uk trading name ambershaw limited
|
Financial Conduct Authority |
United Kingdom
|
20200526
26 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Redwood Bay Investors LLC / RBIFX
|
Securities and Futures Commission |
Hong Kong
|
20200526
26 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Altrice Investment Co. Limited
|
Financial Markets Authority |
New Zealand
|
20200526
26 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
New Economic Evolution of the World
|
Financial Markets Authority |
New Zealand
|
20200526
26 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Royal C Bank
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200525
25 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Soho Limited
|
Securities and Futures Commission |
Hong Kong
|
20200525
25 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Texmoore Limited
|
Financial Conduct Authority |
United Kingdom
|
20200522
22 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
BoxVn Limited / Boxvn-Invest
|
Financial Conduct Authority |
United Kingdom
|
20200522
22 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Darwinenc.com / Darwinexc.com (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200522
22 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
AJ Bell (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200522
22 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
HBOS International Funds (clone of FCA authorised fund)
|
Financial Conduct Authority |
United Kingdom
|
20200522
22 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Assets Assurances (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200522
22 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
NB-Finance / NBC Global Finance (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200522
22 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Altyx Financial Planning Ltd (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200522
22 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Quantum Wealth Management (Clone of a UK Authorised firm and an EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200522
22 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
The Alberto Marco Group
|
Financial Conduct Authority |
United Kingdom
|
20200522
22 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Jean Pierre Technologies / JP Finance
|
Financial Conduct Authority |
United Kingdom
|
20200522
22 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ISA-Expert.com
|
Financial Conduct Authority |
United Kingdom
|
20200522
22 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Infinity FX and LukeTradesFX
|
Financial Conduct Authority |
United Kingdom
|
20200522
22 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
www.blueskylt.com
|
Securities and Futures Commission |
Hong Kong
|
20200522
22 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.gfqihuo.com
|
Securities and Futures Commission |
Hong Kong
|
20200522
22 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
British Bond Compare
|
Financial Conduct Authority |
United Kingdom
|
20200521
21 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Solar Claim Experts
|
Financial Conduct Authority |
United Kingdom
|
20200521
21 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
national bonds
|
Financial Conduct Authority |
United Kingdom
|
20200521
21 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Tower of London Worldwide
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200520
20 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
Flat Innovations AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200520
20 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
UK Bond Deals
|
Financial Conduct Authority |
United Kingdom
|
20200520
20 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Amber Fondsmæglerselskab A/S
|
Danish Financial Supervisory Authority |
Denmark
|
20200520
20 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
The Danish Financial Supervisory Authority (FSA) warns the public against the fraudulent use of the name Amber Fondsmæglerselskab A/S and its license
|
|
Pioneer Income
|
Financial Markets Authority |
New Zealand
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Pioneer Income may be involved in a scam.
|
|
UK Compare
|
Financial Conduct Authority |
United Kingdom
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
The Bond Market
|
Financial Conduct Authority |
United Kingdom
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
crowncompare.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Royalcomparison.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Global Pro Trader
|
Financial Conduct Authority |
United Kingdom
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bit-holdings
|
Financial Conduct Authority |
United Kingdom
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Universal Loans
|
Financial Conduct Authority |
United Kingdom
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Step Debt Line (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Q8TradeFX (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
PGIM Invest / Pru Invest / Pru Indemnity plc / Pru IPO Recovery / Pru Crypto / PruMail (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
AG Broker (Clone of EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Allianz Global Investors (Clone of EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Redwood ESF (Clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20200519
19 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
PRIMECAPITEC
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200519
19 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
www.markets48.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200518
18 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MARKETS48
|
|
www.facebook.com/2circlefx/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200518
18 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.fxlifestyle.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200518
18 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FXLIFESTYLE
|
|
https://multifxsignals.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200518
18 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MULTIFX SIGNALS LIMITED
|
|
https://firstfinancialbanc.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200518
18 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FIRST FINANCIAL BANC
more
|
|
HTTPS://ALPHATRADEFX.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200518
18 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ALPHA TRADE FX
|
|
Investment-compare.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200518
18 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Investorable.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200518
18 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Xlarge Verwaltungs GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200518
18 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
EasyWerben
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200518
18 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
Redstone Capital Partners
|
Securities and Futures Commission |
Hong Kong
|
20200518
18 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Zilton Capital
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Zenith Research Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Young Capital M&A
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
York & Williamson
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
X-Clearing Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wyatt M & A Advisory
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Worldwide Transfer and Trust
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Worldwide Regulators Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Worldwide Insurance Network Group (aka WING Insurance)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Woori Investment & Securities America, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Woodbridge Escrow and Clearing
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wineburg Corporate Insurance
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Windgate Security Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Windcrest Management Solution, Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Willkinson Capital Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Williamson Advisors Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Williams Royale Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Williams & Miller PLLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Williams Mckenna Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
William Campbell Company
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wiess & Associates Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
William Burke Ventures
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Whittman Simmons Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Whitman Law Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Whitney Cooper and Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wheeler Consultancy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Whalberg and Kaplan Agency Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Westwood Consultancy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Westhill Partners, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Westgate Consulting Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Western Trust Company Washington
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Western Transfers Company
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Western Pacific Advisors Inc., a.k.a. Westpac Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Western Global Capital Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Western Equities Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Western Capital, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
West Coast Stock Transfer Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
West Coast Financial LLC, a.k.a. WC Financial Group LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
West Capital Partners, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Werner Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wentworth Fiduciary and Transfer Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Welsh Securities LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wellington Mergers and Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wellington Capital Markets
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Welling & Company, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Welborn Capital & Partners LLC, a.k.a. Welborn Capiltal (sic) LLC, a.k.a. Welborn Capital Partners Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Weiss Rifkin & Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Weinstein & Younge Asset Management Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Weinberg Equity Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wegman & Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Watson Sandy Holding Co.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Washington Regulatory Division
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Warren Sitco & Company
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Warren Hill, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Warren Fisher and Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Warren & Massey Asset Management Ltd., Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wampum Group LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Walton Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Walters and Reed
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Walter Parker Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wallstreet M & A Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wallace Jacob Consultants Corporate Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wall Street Systems Holdings, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Waight & Caffie Company Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wahrburg Moss Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wahrburg Moss
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Wade and Wiley Consultancy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Vpoint LLC aka Vantage Point Investment Advisors
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Vogel, Maines & Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
VipBinary, a.k.a. Vip Binary
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Verity Transfer Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Vault Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Vantage Global Advisors Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Van Der Hout, Parker & Price LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
UST Financial Services Corp.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
US Shareholders Registry Department
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
US Securities Registration Oversight Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
US Registration Authority
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
US Liquidation and Compensation Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
US International Registry & Compliance Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
US International Investment Trade Authority
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
US Federal Oversight Investment Bureau
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
US Compensation Bureau
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Upper East Side Trust Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Universal Partners Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Universal Equities Consolidated LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Universal Consolidated
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Uniteds Investment Global Corp.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
UnitedOne Partners, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United Tax Strategies
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United Tax Consulting Limited
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Trading Committee
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Settlement and Claims Commission a.k.a. Settlement Claims Commission (SCC)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Securities Regulatory Commision (sic)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Securities Liquidations Department
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Securities and Investments Dealers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Securities and Investments Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Securities and Acquisitions Administration
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Regulators and Administration Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Registration Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States of America Takeovers & Acquisitions Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Mergers and Acquisitions Regulators
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Investment Dealers Organization (USIDO)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Investment Dealers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Financial Services Registry
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Federal System
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Federal Court of Arbitration
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Fair Trade Bureau
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United States Bureau of Securities Registration
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United Financial Protection Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United Consultants Fiduciary Services (UCFS)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
United Compliance Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Union Street Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Union Financial Protection Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Unifund America, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Uinvest, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
U.S. Regulatory Trade & Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
U.S. Regulatory Securities Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
U.S. Registration of Securities Bureau
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
U.S. Offshore Registry Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
U.S. Municipal Securities & Information Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
U.S. Mergers and Acquisition Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
U.S. International Bureau for Trading
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
U.S. Financial Management Service
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
U.S. District Court of Arbitration
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
U.S. Department of Registrars Bureau
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
U.S. Compensation Department
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
U.S. Bureau of Compensation and Liquidation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
U.S. Board of Merger & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Turner, Silverman and Cohen LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Turner, Liebermann & Cohen
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Tudor Capital Group, a.k.a. Tudor Capital Global Financial Consultancy Firm
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Tsaifu Elysium Global
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Truman Stock Transfer LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Triumph Capital Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Trillium Advisory Firm
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Trident Transfer Services Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Trident Capital Management, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Tribune Assets Management Litmited (sic)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Trias Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Trendline Futures Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Treadstone Private Equity
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Transfer Securities Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Transatlantic Alliance Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
TradersRoom
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Traders Financial Insurance
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Trade Guide Insurance
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Total Research Group, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Total International CPA LTD
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Tompkins, Price & Walker
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Tomason Henry Law Offices
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
TMRTrust Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Thornton Wilson Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Thomas, Lloyd, Cohen & Anderson LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Thomas Anderson Advisory
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Thomas & Hyde Consulting
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
The Regulating Body of Securities and Investments
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
The ICON Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
The Firm Inc., a.k.a. The Ottoman Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
The Financial & Regulatory Oversight Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
The Equity Exchange Group Portfolio Management (Limited)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
The Crowne Registry
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
The Column Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Texas Stock and Bond
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
TDB Financial Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
TCM Financial
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Taylor Stuart Financial Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Taylor and Grant Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Taxwise Consultants
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Tax Strategies Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Tax Strategies LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Tate, Aron, and Madden LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Tate and Carver Consultancy Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Tanner-White PLLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Tanner and Kaplan PC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Taft MacKenzie Ventures
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Taber Scott LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Synergy Ventures Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
T.M.R. Trading Escrow and Clearing
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Synergy Capital, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Swinson Consultancy Firm
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Swiss Private Capital Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Swiftsure Securities Limited
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Sure Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
SWFinvestguide Financial Services Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Sungold Investments, a.k.a. Sungold Escrow
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Summit M&A Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Summit Private Equity LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Summers Associates Limited
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stronghold Mergers & Acquisition Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Sullivan Seton Murphy Law Firm
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stronghold Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Strike Commodities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Strategic Private Equity LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Strategic Private Equity Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stonebridge Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stock Funding Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Steve Pearson Capital Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stern Fisher Edwards Corp.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Sterling Equity Corp.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stephen Schmidt Capital Ventures Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Steinberg Private Equity
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Steinberg & Ashley Corp.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Steed and Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Steam Takeovers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stateside Capital, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
State Securities Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stargroove Trade Ltd., a.k.a. Stargroove Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stargate Advisors Limited
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stansfield Private Equity Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stansell Corporate Services, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stanley Capital Group Mergers and Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stanford Law Firm
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Standard New York Securities Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Standard Hokori Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Stamford Niles Equities, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Spectrum Global International
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Spartan Capital Asset Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Sovereign Pacific Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Sovereign Marketing
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Southampton Investment Services Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
South Atlantic Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Sony Global Asset Management, Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Solution Capital Partners LP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Soloman Mckinley Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Smith Kearney M&A
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Smith and Olsson
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Smith and Lockhart Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Smith and Lincoln LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Skyoption LLC d/b/a 360Sky Options
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Smart Capital, LP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Silver Spring Capital Management, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Sherman Consultancy Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Sidstone, Gray & Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Sheppard Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Sharp Courage Global
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Shearer Sampson & Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Seward, Groves, Richard and Wells
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Severn Funding and Investment Limited
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Senaca Stock Transfer Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Select American Transfer Co.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Securities Validation Department
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Securities Transfer & Registration Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Securities Trading Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Securities Trading Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Securities Regulatory Authority
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Securities Regulatory Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Securities Regulation, Protection and Litigation Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Securities Compliance Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Securities Board of Regulators
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Securities and Investments Disputes Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Securities and Financial Commission (SFC)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Securities Africa Limited
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Securities Administration
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
SecureFx Options
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Secured Trade Investment
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Secure Insurance
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Seale Capital Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Seago South Mergers & Acquisitions, LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Scott and Fischer Consultancy Limited
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Scott & Alder
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Scope Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Schwartz Leiberman Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Schroeder Law Firm
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Schiller Gates, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
SBV Venture Partners, a.k.a. SBV Venture Partners Law Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Santander Investment Securities Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
SB Registry
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Sanders Associates LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
S-Acquisition Corp
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Salvora Invest and Trade, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Ryan & Mahar, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Rothridge Consulting Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Rothman Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Rosenthal & Goldberg Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Rosenberg Corporate Law
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Rosen and Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Rose & Cranfield
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Roche Capital Partners LP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Robinson Hurst M&A
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Robinson Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Robertson Ellis
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Robbins, McCaully, Appleby LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Riley Securities and Trading Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Riley Cohen LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Ridley Steed & Cabot
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
RidgeWood Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Richmond Grant Security & Transfer Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Richfield Orion International Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Rhine & Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Revera Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Resonanceoptions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Reliance Capital Management Advisors
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Regulatory Compliance Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Regional Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Regulatory Advisory Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Regional Financial Services Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Regent Capital Ventures Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Regent Consolidated
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Regent & Langley Consulting Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Regency Group Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Regency Group Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Regency Acquisition Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Regal Registrars
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
RBM International Limited
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Rayburn Watson & Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Ratherways and Co.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Quantum Reliance Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Quantum Private Equity
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Quantum Partners International
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Quantum Global Equities Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Qatalyst Partners, L.P.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
PV Merger Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Provident Capital Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Progress Investments LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Private Trading Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Private Capital Venture Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Private Fund Management S.A.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Princeton Capital Investments, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Prime Risk Solutions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Prime Solutions, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Prime Group of Companies
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Prime Acquisitions Group, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Premium Direct Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Premier Mergers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Premier Consultancy Group (PCG)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Powell Financial Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Portfolio Investment Co. Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pointe Capital Partners Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pointe Atlantic
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Plutus Private Equity LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Platinum Group International
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Platinum Global Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pinnacle Invest Group Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pinicle Registry
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pierce Morgan Trust Management, LLC, a.k.a. Pierce Morgan Capital Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Phenix Digital Solutions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
PFS Investments
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Peterson Capital Partners, Inc., a.k.a. Peterson Capital Partnership Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pex Global Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Peterson Advisors Limited, a.k.a. Peterson Consultancy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Peter Hamilton Law Firm & Consultancy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Permanent Fund LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Perkins Consultancy Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Performance Equity Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pennsylvania Division of Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pelican Trading Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pegasus Mergers and Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pederson Law Firm
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
PDH Transfers LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Parker & Mckenzie, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Parker & Masters LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Parkbrook Capital Inc. aka Parkbrook Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Park Avenue Mergers and Acquisitions LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Paragon Capital Group, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pan American Acquisition Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pacific Ventures Consultancy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pacific Capital Management LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pacific Capital Management LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Pacific American Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
P.J. Solomon Securities LLC, a.k.a. P.J. Solomon LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
P.A.N. Securities LP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Overseas Security Trading Protection Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Overseas Investors Information Network
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Overseas Financial Authority
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Overseas Financial & Regulatory Oversight Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Osprey Partners LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Orient Acquisitions Group Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
One New York Financial Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
One Global Venture Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
One Global Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Offutt Securities Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Offshore Taxation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Office of Financial Affairs
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Offshore Securities Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Obrien & Shepard Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
O'Coone, McCormack & Button Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Oasis Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
NY Finance Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
NW Advisors LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
NT Financial Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Nortia Account Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Northwest Mergers and Acquisitions, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Northwest Global Management, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
NorthPoint M&A Advisors NorthPoint M&A Advisors LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Northern Alliance Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
North Pacific Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
North American Securities Transfer
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Norsk Financial
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Newcastle Trust, Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Newcastle Distributors
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
New York Securities Division
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
New York Law Specialist
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
New York Regulatory Division
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
New York Law Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
New York Global Group, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
New York Finance Company
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
New York Compliance Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
New York City Investment Fund Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
New York Board of Regulators
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
New England Private Equity, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
New Alliance Securities, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Nevada Transfer Agent
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
NBI Energy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
National Securities Authority
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
National Financial Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
National Financial Supervision Authority
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
National Compliance Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Myers and Baker Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mulvey & Hanson, LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Morisson Ventures Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Morgan Premier Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Morisson & Associates a.k.a. Morisson & Associates Law Firm & Consultancy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Morgan Investment Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Morgan Consultancy Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Montgomery Roth International LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
MKL Business Services, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mitchell Bloch Law Firm
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
MIT Associates Incorporated
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Minor Group Incorporated
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Minemora Investment Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Miller Winston
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Miller Consulting Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Miller & Ross
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Miller & Cohen
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Miller & Parker Consulting Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Midal Consulting Co.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Metropolitan Financial Institutions Supervisory
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Micro Global Management Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Metcap Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mergers & Acquisitions Law Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mercury Global Acquisition Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Menden Hall Law Office
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mendelson & Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Melrose & Greystone
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
MEL International Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Meister VI - Meister Ventures Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mc’Dave Investments & Financial
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
MCT International Investments
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
McPherson Gordon Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
McMillan Consulting
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
McMillan Consulting Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mclintock Greer
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
McKinney Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mckenzie & Sons Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
McCarthy & Bennett M&A
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
MC Capital Markets LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
MBR Asset Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
MBC Finance Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mayer and Connolly LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Maxwell Mergers & Acquisitions Group Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Maxwell Financial Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Maxwell Financial Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mathisen Financial
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Maxwell Consultancy Limited
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Massaki, Lane and Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mason Securities LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Martin Curtis Smith Group Limited Global Law
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Marshall Security & Transfer Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Marsh & Reede Capital
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Marcus KPO Services, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Marcus & Company Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Manor Private Capital, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mannix M&A
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Manning Capital Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Manhattan Corporate Transfers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Manhasset Capital Management Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Manhattan Acquisition Corp.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mandolin Resources
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Mallary & Company, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Maitland Bell & Co.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
MAGV Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Madison Avenue Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Maddisson Jardine Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Madden Group Inc. (MGI)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Macros Investment, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Macro Acquisitions LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
MacMillian Escrow Trust
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Macellum Capital Management, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
M&A Securities Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Macallaster Pitfield Mackay Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
M&A Securities Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lynx Mackenzie, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lubater Consulting
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Longworth and Richman Law Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lombard Grand Financials
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Logan Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lloyds Commercial Finance
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lloyds & Lambert Capital Ventures Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lloyd Morgan Company
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lloyd Brown Investments, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Livingston Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lindenberg Asset Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Litmus Capital Management Group LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lincoln Trust Transfer Agency LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lincoln International Fund LP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lincoln Equity Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lincoln & Rutherford Trust Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Liberty Ventures Holding Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Liberty Transfer Co.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Liberty Trade & Investment
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Liberty Investors Protection Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Levine & Levine Law Specialist
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Leo Equities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Legg and Berman Acquisitions Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Legal Management Consultants
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Legal Recovery Consultants
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Legacy Capital Management, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lee Grant Morrison
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lead Global Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lead Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lawrence James and Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Law Office of Ashley & Gina Wilson Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Law Experts of New York
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lansley, Everett & Moore, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Landmark M&A, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lambert McMillan Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Lakeshore Private Equity LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Kravitz Roth, Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Krust Global Financials
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Kramer & Associates Management Group LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
KPH Consulting Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Kobe Asset Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Kirkland Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Kirkland Gray Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Kipling Mercer & Co. LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Kingsley Capital Partners Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Kinetic Escrow Trust
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Keystone Global Marketing
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Kiefer Business Services LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Keystone Corporate Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Keswick Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Kensington Advisory & Investment Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Kennedy, Anderson & Lang
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Kenilworth Mergers & Acquisitions Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Keep Clearing Corporation LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Karum Group LLC Law Firm
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Kaplan Mergers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
JSM Financial
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
JT Limited Partnership
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
JPR Capital Corp.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
John H. Slade & Co., Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Johnson McQuade Acquisitions Corp.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Jeremy Fleming International
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Jefferson Clark Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
JD Trading
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Janco Lazard Transfer Company
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
James & Mays, PLLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Jacobson Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Jacob Stuart & Knight Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Jackson Bernstein Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
J. Rowan Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
J. Streicher & Co LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Itaxation Corporation Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Isaac Paige Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
IPO Securities Litigation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Investors Advisory Services, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Investor Protection Enforcement Council
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Investor Protect Bureau
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Investment Recovery Service
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Investment and Security Fraud Protection Agency Two Prudential Plaza
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Transfer Services Limited
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Intertrade Compliance Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Trading Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Trading Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Stock Transfer Administration (ISTA)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Stock Regulators
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Shareholders Compliance Department
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Share Verification Department
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Securities Validation Division
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Securities Regulatory Division
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Securities Regulators
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Securities Regulatory Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Securities Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Securities Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Securities Authority
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Securities and Equities Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Securities Administrators
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Regulators Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Securities Accreditation Authority
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Protection and Surveillance Authority
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Organization of Transfer and Registrar Agents
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Organization of Registrar and Clearing Agents (IORACA)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Network for Investor Action and Protection
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Mergers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Investor Protection Coalition, a.k.a. IIP Coalition
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Investments and Securities Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Information Exchange
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Fraud Alert
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Fraud Assessment Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Financial Trading Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Financial Securities Regulatory Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Financial Oversight Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Financial Market Regulatory Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Financial Forensics Organization
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Financial & Regulatory Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Exchange Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Escrow Services, Inc
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Divestment Services IR Ltd
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Equities Administrators
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Corporate Advisors
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Compliance Assistance Center
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Commission of Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Claims Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Board of Trade Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Board of Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
InterGlobal Financial Registrar
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
International Association of Transfer Agents
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
InterContinental Financial Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Intercontinental Financial Protection Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Intercapital Venture Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Intercapital Equity Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Interactive Taxation Consultants
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Integrated Tax
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Integrated Financial Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Imperial Quest Ventures, Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Institutional Equity Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Impact Finance
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Illuminate Ventures Advisor Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
IDA Consultancy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
ICSID Lawyers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
IBG and Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Humphrey ETS LTD.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hudson Munroe Transfer Agents
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Howland Law
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Howard, James & Watson LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Howell and Johnson Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Howard Gary & Company, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hopewood and Company
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Holland Capital Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hogan, Case & Polk
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hobdell and Williamson
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hillton Stock Investment Limited, a.k.a. Hillton Stocks Investments
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hobart & Roth, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hill Law Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hermann Brothers Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Henrickson Dickson LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hendricks & Hurst
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Heinz Hokkaido International
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hedges Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hedges Capital Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Heckart Associates, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
HCC Global Financial Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Heale Financial LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Harris James Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Harkins Law Firm
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Harbor Light Securities Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hanworth Weir Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hamza and Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hammond Global Solutions LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hampton Capital Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hamilton and Pricehouse Consultancy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Hales Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
H. Taft Private Equity
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Gultsara Trading Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Guardian International
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Guardian Creative Tax Planners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
GS Global Asset Management LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Gruber and Green, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Griffin Advisors Limited
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Griffin Mergers and Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Greystone Asset Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Greyson Consulting Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Grenfell and Blackrock Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Greenwood Capital Advisors
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Greenway Consultancy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Greenfield Securities Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Greentree Financial Advisors
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Greenfield Insurance Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Greenfield and Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Greenberg International Law & Tax Advisory
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Green Wave Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Green Wave Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Green & Book LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Green Bay Ventures LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Great Southern Investment
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Great Harbor Compliance Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Grant Group LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Graham Morrison Wilson
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Gordon, Tait & Co. LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Gordon Group Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Goodwin William Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Goldstein & Bradley
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Goldman Phillips
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Goldsmith & Harris
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Goldman Capital Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Golden Medallion Trading
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
GMA Advisory Services, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Gloucester & Stern Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Trading Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Securities Service Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Security Transfer
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Securities Regulatory Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Securities Protection Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Securities Crime Investigators
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Registration and Transfer Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Re-Insurance Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Quest Consultancy Services, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Quest Emerging Fund LP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Partners Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Investments Compliance Center
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Growth Acquisition Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global FX
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Financial Tree
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Financial Group Advisors
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Financial Protection Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Financial Corp. Worldwide, a.k.a. GFC Worldwide
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Equities, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Direct Financial Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Direct Equities LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Direct Asset Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Corporate Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Compliance Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Capital Markets Worldwide
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Capital Group Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Capital Management, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Asset Registration and Transfer Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Asset Management Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Global Alliance Insurance Company
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Glendale Management Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Giles and Hochman Consulting
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Gemini M&A
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
GFC Worldwide, a.k.a. Global Financial Corp.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Garrett Hopkins Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Gardner Financial Trading
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
G&L Partners, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
FX Well Investment
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Fundamental Trading Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Frost Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Fund Investors, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Frazer White Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Franklin Rankin, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Franklin Law Office
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Foster & White Acquisition Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
FORTRESS Investment Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Forte Capital Mergers and Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Fortis IM Trade
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Forensic Accounting and Financial Fraud Investigator
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Foreign Investors Surveillance Authority
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
First Trade Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
First Private Equity Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
First Prime Corporations, a.k.a. First Prime Corp.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
First National Reliance Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
First National Stock Transfer Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
First Liberty Transfer Agency, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
First Investment Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
First Financial Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
First Independent Accounting & Management Services Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
First Escrow Trust
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
First Axis Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
First American Group, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
FinTrade Advisors Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
FinSolve Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Soultions (sic)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Trading Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Services Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Securities and Investments Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Securities and Equities Bureau (FSEB)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Regulation Bureau
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Protection Intelligence Unit
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Fraud Examiners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Protection Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Fraud Enforcement Task Force
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Conduct United States of America
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Compensation Authority
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Asset Management, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Affairs Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Action Task Force
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial Advisors KMG
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Financial & Regulatory Oversight Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Finance Regulation Bureau
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Finance Regulation Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
FinAllianz
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Ferguson Hathaway Consulting, Ltd./FH Consulting
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Federal Stock Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Feinler Management Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Federal Security Trading Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Federal Securities Regulatory Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Federal Securities Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Federal Securities and Investments Regulatory Commission (FSIRC)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Federal Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Federal Financial Services Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Federal Recapitalization Fund
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Federal Financial Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Federal Equities Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Federal Division Of Securities, NY
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Federal Capital, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Federal Asset Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Farrel, Thornton, Lloyd & Brown
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
FCM Advisory Services, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
FAP USA, L.P.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Fairchild Holdings & Advisory Firm Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Factor Private Equity LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Faber Landau
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Everett Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Equity Trust Management, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Europa Commodities, a.k.a. Europa Capital LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Equity Law Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Equities Trading Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Endeavour Mergers and Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Endeavor Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Empire Financial Management Incorporated
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Emerald Point Capital
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Empire Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Ellipse Trading
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Elliot Private Equity
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Edward Collins and Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Edison Transfer Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Ebond Securities L.L.C.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Economic and Financial Services Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Eastwest Management Group Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Easton Consultancy, a.k.a. Easton Consultancy Advisory Firm
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Eastman Pierce Partners Mergers and Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
East West Financial & Securities Compliance
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Eastern Security Trading Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
East International Transfer
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
East Financial Group Incorporated
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
East Coast Law Florida
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
DurdanHeyer Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Dumont Private Equity
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Duke Smythe Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Dukes Merger & Acquisitions, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Duke & Bremmer Law Firm LP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Drobium Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
DreyfusMeyer & Co., Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Drexel Lambert Mergers and Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Dragon International, a.k.a. Dragon Mergers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Dixon Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
DMR Consulting, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Division of Securities for the District of Columbia (DOSDC)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Division of Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Diversified Private Capital Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Diversified Portfolio Management Invest, a.k.a. DPM Invest
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
District Stock Transfer
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Diversified Global Equities Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Diamond Title Services, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Dial Mergers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Department of Securities Trading
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Department of Securities and Exchange Regulation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Department of Securities Liquidations
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Department of Regulation in Washington
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Department of Orderly Liquidation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Department of Law and Public Safety
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Department of International Financial Trading
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Department of Interagency Protection Bureau
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Department of Financial Trading
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Department of Global Pacific Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Department of Financial Securities Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Department of Financial Regulators
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Department of Financial Compensation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Dempsey Bingham
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Delta West Financial Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
DB Yates & Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Dean Witter Consultancy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Davis and Company LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Davis & Rudell LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
David, Scott & Allen PLLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Davidson Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
David W. Jones, Attorney at Law
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Darwin Acquisition Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Danford Capital Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Dailey Securities, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cunningham, Austin, Wheeler & Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
CSA Financial Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
CT Lambson and Associates, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Crown Will Escrow and Clearing
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Crown Corporate Consultants
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Crossley Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cromwell and Goodwin
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Crest Trust Management, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Crawford Stanley Advisors LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Crest Equity Partners, LP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Crawford Clarke M&A
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
CPI International
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cotton Wood Stock Transfer
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cover Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Costello & Rubin Attorneys at Law
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Corporate Stock Transfer Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Corporate Mergers & Acquisition Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cornerstone Financial Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Corestone Distributors
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cooper Company Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Coreen Bradford Insurance
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Continental Private Equity LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Continental American Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Connolly Thomas Law
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Condor Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Connelly Peterson Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Commodity Compliance Services, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Commission on International Trade and Economics (COITE)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Commission on Financial & Securities Compliance
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Coltin Securities LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Colonial Square Acquisition LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Colonial Trust Transfer Agency LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Collett Quinlan M&A
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Coleman, Peterson & Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Coleman Brothers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Colby Mergers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cohen Corporate Consulting
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Colbert & Welling LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cohen & Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Clydesdale Securities, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Clifton Capital Partners LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Clayton Capital Ventures, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
CLC Acquisition Corp
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Clarus Capital Group Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Clarkson Black Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
City Capital Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
CitiWealth Asset Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
CIG LLC, a.k.a. Commerce Investments Group LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Chris Gardner Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Christian, Bradford and Cohen Legal Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Chopper Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Chicago Trading Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Chartered Capital Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Chicago Division of Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Charlton Hayfield and Company
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Charles Pearson Investments International
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Chadwick & Co.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Century Management Division, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Century Holdings Ltd
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Central Finance Regulatory Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Central Stock Regulators
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Central Equities Administrators
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Centrade Management Corp.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Center for Securities Investigation Department
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Center Point Financial Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Centaur Global Advisors
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Celivox Alliance
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
CDN Law
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
CC Wealth Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
CC Ltd
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Casey McCormick Private Equity
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Caspian Trading, Inc., a.k.a. Caspian Investments
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cartwright Law Specialist Boston
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cartwright Financial
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Carlton Capital Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cartwright & Keating, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Carlsson and Capehart Group, Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Carlson Group Consultancy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Carlson and Clarke
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Capital Union Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Capital Trust Management, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Capital Securities International
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Capital Transfer Consolidated
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Capital One Management Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Capital M & A
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Capital Arc Holdings
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Capital Insurance Group Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Capital Advisory Partners New York
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Capital Acquisition Group Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Capgemini Law Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cantata Equity Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cannon Corporate Consultants
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cameron McDonald & Co.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cameron Poe & Associates Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cambridge Financial Partners LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cambridge Equity Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cain Capital LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
CAIS Capital LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cadwell Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Cabbot Law Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
C&O Fund Distributor, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Burton Capital Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Burgess, Cooper & Reynolds
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Burnell Larkins, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bureau of International Securities Trading
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bureau of Global Financial Trade Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bureau of Financial Trading
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bureau of Compliance and Regulatory Board
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bureau of Financial & Protection Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Brown and Wenger Consultancy Firm
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Brookstone Group Transfer Agents
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Brookdale Management Consultancy, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Brookdale West Capital Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Brixton Business Consultants
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bristol Financial Offshore
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Brentwood Capital Ventures
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Brentcliffe Limited
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Breakthrough Incorporated
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bremer Financial Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Brant Fletcher Trust Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bramwell & Kent Consultants, LLC.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Brady & Bell Acquisition Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bradley & Nowell
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bradley & Rogers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bradford Securities LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bowman & Malone LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Boston Private Equity
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Boston Capital Management Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Boston Management & Research
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Boston Acquisition Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Boesch Haufmann Asset Management, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Board of Securities Trading Commission
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Board of International Equities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
BNY Trading Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Board of Financial Affairs
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Blueford Consultancy Limited
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Blue Ridge Financial Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bloomfield Trust Management, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Blue Bayou Prospect Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Blockcryptomining
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Blake Morgan Financials
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Blackwell & Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Blackstone Royalty Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Blackswan Morgan
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
BlackBox Traders
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Black Water Investment Group, L.L.P.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
BL Trading Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bingham Consulting Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Binary Investment Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Binary Market Arbitration Refund
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Betterlife Investment Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Best Investors Group, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bernstein, Whitman & Lloyds
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Berrscott, Elliott & Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bernstein & Younge Asset Management Group, Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Berkshire Financial Management, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Berkley Liquidation & Administration
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Berdon Law Mergers & Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Berger Aron Macey
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Benton Wells & Associates, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Benson Hill Advisors
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Benchmark International Trading Group, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Beltrades
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Belmont Capital Holdings
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Belmont Shaw and Associates Mergers and Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Beacon Global Management, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Beacon Capital Management Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Barton Advisors, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bayside Equity Group, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Baros and Ronaldo Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Banner Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bank Guarantee Funding
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Banner Commodities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Banc De Binary
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Baker Hamlin
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Bainbridge Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Austin Claymore LP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Atlas Stock Transfer
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Aton Capital Invest
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Atlas Consultancy
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Atlantis Capital Partners, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Atlantic Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Atlanta Mediation Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Atlantic Capital Trust Management, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
ATG Capital Solutions, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Association of Securities Transfer Companies (ASTC)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Asset Recovery Solutions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Asset Trust Management, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Asprey Associates
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Asia Pacific Group, a.k.a. Asia Pacific Financial Management Group Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Ashley Partners M&A
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Arlington Securities Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Arron Copeland
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Arista Capital Ventures
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Ares Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Ardent Asset Advisors LP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Arcadia Trading Group, Ltd. Arcadia Oil & Gas, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Ardea Capital L.P.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Apollo Global Securities LLC. (sic)
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Apex Stock Transfer Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Apex Capital Acquisition Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Anoli Capital International, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Anti Cyber Crime & Financial
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Anderson, Franklin, Sullivan Partners Ltd., a.k.a. AFS Partners Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Anderson Ford Financial
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Andersen Mergers
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Anderson & Scott LLP
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
AMK Trust Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Ameritradeoptions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
American First Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
American Taxation Incorporated
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
American First City Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
American Financial Group, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
American Financial Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Alter Management LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Alpha Investment Management LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Alta Paramount Ltd.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Alpha Corporate Consultants
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Alpha Consulting Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Allied Capitals
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Alliant Holdings I Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Allianze Global Insurance Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Alliance Transfer Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Alliance Group, Inc. Alliance Insurance Agency
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Alexander Capital Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Allen Brothers M&A
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Alderbrook Capital Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
AJ Nelson Consultants, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Affinity Group
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
AIA Capital Markets, LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Advisors Group, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Advanced Global Securities Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Advance Partners LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
ACT Transfer Services
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
ADG Capital LLC
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Acquisition & Development Consulting, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Acquisition & Development Consulting, Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Accrescent Holdings Inc.
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Accer Mergers and Acquisitions
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Access Broker.com Inc
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
Abacus & Partners
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
426 Investments Incorporated
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
365Tradeposition
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
1st New York Financial Corporation
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
247 Options Trade
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
1st American Securities
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
12 West Capital Management
|
Securities and Exchange Commission |
United States of America
|
20200516
16 May 2020
|
|
No additional comments posted.
|
|
www.stepoutofdebt.org.uk
|
Financial Conduct Authority |
United Kingdom
|
20200515
15 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Sharefounders
|
Financial Conduct Authority |
United Kingdom
|
20200515
15 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Step Clear to Change
|
Financial Conduct Authority |
United Kingdom
|
20200515
15 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Markets Cube
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200515
15 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
OTC Market Sàrl
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200514
14 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
KeperCoin
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200514
14 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
Swisscrypto365
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200514
14 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
Renaissance Swiss Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200514
14 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
Waterhouse Partners
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200514
14 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
10CryptoMarket
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200514
14 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
SWISSTRADE EXCHANGE
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200514
14 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
UK Bonds Group
|
Financial Conduct Authority |
United Kingdom
|
20200513
13 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Search Investments
|
Financial Conduct Authority |
United Kingdom
|
20200513
13 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Easy Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200513
13 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Standard Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200513
13 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Invest Compare
|
Financial Conduct Authority |
United Kingdom
|
20200513
13 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Platin-fx, Elit Property Vision, Gam Group, Itistocks Brokers, Sigma Consulting Limited and Solt Corp.
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200513
13 May 2020
|
Miscellaneous |
Consob has ordered the black-out of 5 new websites that offer financial services illegally. The Commission availed itself of the powers resulting from the ‘Decreto Crescita’ (‘Growth Decree’; Law no. 58 of 28 June 2019, article 36, paragraph 2-terdec
more
|
|
www.westernfx.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WESTERN GROUP INC
|
|
https://tradeoption24.net/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TRADEOPTION
|
|
https://credit-trade.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CREDIT-TRADE
|
|
https://es.welttrades.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GAME CAPITAL ADS LIMITED
|
|
https://stringsfxone.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://es.procapitaltd.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GAME CAPITAL ADS LIMITED
|
|
LIVEMARKETS REALTY FINANCIAL PLANNING, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://es.itistocksbrokers.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://es.invest247.co.uk/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://Forexmarkettrade.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://es.cryptocapitalpro.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GAME CAPITAL ADS LIMITED
|
|
https://es.cfgtrades.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
INTER MEDIA LTD
|
|
https://es.247worldbtcfx.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GAME CAPITAL ADS LIMITED
|
|
https://es.24proinvestors.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GAME CAPITAL ADS LIMITED
|
|
HTTPS://BROKERCRYPTOBANKS.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BROKER CRYPTO BANKS
more
|
|
investment-search.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
British Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
My Scam Adviser / MyScamAdviser
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Brewin Dolphin (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Southgate & Culham Investments (clone of Appointed Representative firm)
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
ECM-UK LTD (clone of previous EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Britannia Credit Union (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
EU Traders Monitoring Team (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Go Compare the Bond Market / www.gocomparethebonds.com (Clone of FCA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Alreford DAC (Clone of an EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Alliance Venture Management (Clone of an EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Heron Wealth Management (clone of FCA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Cash Loans 4 u (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
BOIB Finance Investment Management (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Numisbitbond (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Wyelands Bank (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200512
12 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
www.fidelityinvestmentsgroup.com/hk
|
Securities and Futures Commission |
Hong Kong
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.fidelityinvestmentsgroup.com
|
Securities and Futures Commission |
Hong Kong
|
20200512
12 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
excellent-bonds.com
|
Financial Conduct Authority |
United Kingdom
|
20200511
11 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Private Fund Management e a Graceful Numbers Europe Limited
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200511
11 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Joseph Oliver – Mediação de Seguros, Lda
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200511
11 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CEMG Group
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200508
08 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
GRUPO START INVEST
|
Comissão de Valores Mobiliários |
Brazil
|
20200508
08 May 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:
more
|
|
IQ OPTION LTD
|
Comissão de Valores Mobiliários |
Brazil
|
20200508
08 May 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:
more
|
|
JSGI Global Holding Limited
|
Securities and Futures Commission |
Hong Kong
|
20200508
08 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Infinitrade
|
Financial Conduct Authority |
United Kingdom
|
20200507
07 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Terra-Finance LTD
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200507
07 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Geneva Capital Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200507
07 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
isa-search.co
|
Financial Conduct Authority |
United Kingdom
|
20200507
07 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
AGMarkets / Absolute Global Markets / Lotens Partners LTD
|
Financial Market Authority |
Austria
|
20200506
06 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Finanzen Kredit
|
Financial Market Authority |
Austria
|
20200506
06 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Stockmarket Insider / Fixed Rate Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200505
05 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Hangtung International Wealth
|
Securities and Futures Commission |
Hong Kong
|
20200505
05 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
XOXA BANK
|
Autorité des marchés financiers |
Quebec
|
20200504
04 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
The site states that XOXA BANK is a financing platform registered with the AMF as an ”Advisor in Participative Investments.” No such registration category exists under the laws administered by the AMF. In fact, XOXA BANK is not registered in any capa
more
|
|
TIM BLUESKY CONSULTING SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200504
04 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.gwdforestry.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200504
04 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GWD FORESTRY SL
|
|
https://bitcoin-storm.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200504
04 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BITCOIN STORM
|
|
https://es.themarketmaster.live/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200504
04 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
THE MARKET MASTER
|
|
https://es.btc-billionaire.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200504
04 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BTC-BILLIONAIRE
|
|
http://bitcoin-billion-club.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200504
04 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BITCOIN BILLION CLUB
|
|
https://royalbanc.io/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200504
04 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ROYAL BANC
|
|
https://es.immediateedgebot.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200504
04 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
IMMEDIATE EDGE BOT
|
|
www.coin2fx.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200504
04 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
SMART TRADE AND INVESTMENT LTD
|
|
https://247globaltrade.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200504
04 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
AFFORT PROJECTS S.A
|
|
www.fujihk.net
|
Securities and Futures Commission |
Hong Kong
|
20200504
04 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Karatbars International GmbH, Karatbit Foundation and associated companies
|
Financial Markets Authority |
New Zealand
|
20200504
04 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Kensington Bonds Group
|
Financial Conduct Authority |
United Kingdom
|
20200501
01 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Dash-Trader
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200501
01 May 2020
|
Miscellaneous |
No additional comments posted.
|
|
Ledbury Plc (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200501
01 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Cryptozone24 (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200501
01 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Savone Pierre Brokerage (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200501
01 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
South West Capital Partners LLP (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200501
01 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
SLBE BVBA (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200501
01 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Alpstone Capital Services Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200501
01 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
One Crypto Trade (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200501
01 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Pierre Lafont Brokerage (Clone of EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200501
01 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Universal Leasing Limited (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200501
01 May 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Deutsche Bank UK / DB UK (Clone of FCA Authorised firm
|
Financial Conduct Authority |
United Kingdom
|
20200501
01 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Nat International Funds (Clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20200501
01 May 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Pinnacle Capital
|
Ontario Securities Commission |
Ontario
|
20200501
01 May 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
Pinnacle Capital , offering investment services on its website found at www.pinnacle.capital, is not registered in Ontario to engage in the business of trading in securities.
|
|
D£bt Solutions / Debt Solutions
|
Financial Conduct Authority |
United Kingdom
|
20200430
30 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Trade99
|
Financial Conduct Authority |
United Kingdom
|
20200430
30 Apr 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Stratis Finance / Stratis Financial
|
Financial Conduct Authority |
United Kingdom
|
20200430
30 Apr 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CentDesk / CentDesk Capital Limited
|
Financial Conduct Authority |
United Kingdom
|
20200430
30 Apr 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Dekocorp / Promotion Corp Solutions Limited
|
Financial Conduct Authority |
United Kingdom
|
20200430
30 Apr 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Richfield Capital / Richfield Capital Limited
|
Financial Conduct Authority |
United Kingdom
|
20200430
30 Apr 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Nimble Markets / Nimble Markets Ltd
|
Financial Conduct Authority |
United Kingdom
|
20200430
30 Apr 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Allgreen Capital Ltd / Concept4x
|
Financial Conduct Authority |
United Kingdom
|
20200430
30 Apr 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Pan Atlantic Securities
|
Financial Conduct Authority |
United Kingdom
|
20200430
30 Apr 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Prime Bitcoin Miners
|
Financial Conduct Authority |
United Kingdom
|
20200430
30 Apr 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Libra Markets
|
Financial Conduct Authority |
United Kingdom
|
20200430
30 Apr 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Jones Mutual/GreenRiver OU
|
Financial Conduct Authority |
United Kingdom
|
20200430
30 Apr 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Antonio Raphael t/a Blue Sky Investments
|
Central Bank of Ireland |
Ireland
|
20200429
29 Apr 2020
|
Miscellaneous |
Antonio Raphael t/a Blue Sky Investments is not authorised by the Central Bank of Ireland to provide investment services. The firm purports to be based in Ireland.
|
|
StockGlobal
|
Central Bank of Ireland |
Ireland
|
20200429
29 Apr 2020
|
Miscellaneous |
StockGlobal is not authorised by the Central Bank of Ireland to provide investment services. The firm purports to be based in the Marshall Islands.
|
|
Fremont Capital Limited
|
Central Bank of Ireland |
Ireland
|
20200429
29 Apr 2020
|
Miscellaneous |
Fremont Capital Limited is not authorised by the Central Bank of Ireland to provide investment services. The firm purports to be based in Ireland.
|
|
Cryptotraderoptions
|
Financial Conduct Authority |
United Kingdom
|
20200429
29 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Altesso
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200428
28 Apr 2020
|
Miscellaneous |
No additional comments posted.
|
|
www.tradeprofitoption.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200428
28 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TRADEPROFITOPTION
|
|
www.trademarket247.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200428
28 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TRADEMARKET247
|
|
https://royalfxtrade.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200428
28 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ROYALFXTRADE LTD
|
|
www.quicktradeoption.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200428
28 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
QUICKTRADEOPTION
|
|
https://primexbt.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200428
28 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PRIMEXBT TRADING SERVICES LTD
more
|
|
https://news-traders.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200428
28 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PRO STAR GRIFFITH CORPORATE LIMITED
|
|
www.mciinvestments.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200428
28 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FX LIMITED
|
|
http://fxmanagedaccounts.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200428
28 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GET INTO FOREX
|
|
https://reto.online
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200428
28 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://realmarketbroker.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200428
28 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Real Market Broker
more
|
|
www.24trade-explore.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200428
28 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
24TRADE-EXPLORE
|
|
Coinshield
|
Financial Conduct Authority |
United Kingdom
|
20200428
28 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Apex Capital Associates
|
Financial Conduct Authority |
United Kingdom
|
20200427
27 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
HC Invest Group SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200424
24 Apr 2020
|
Miscellaneous |
No additional comments posted.
|
|
Brookfield Investment Funds Plc (clone of FCA authorised schedule 5 firm)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Integral Development Asset Management (Clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Global Wealth Investment (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
CFAM FX / CFAN FX (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Atlas FMI (Clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Class Wealth Management (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Black Panda Loans / Quick Lends (clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Chase de Vere Independent Financial Advisers limited (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
IGPFX (clone of Authorised Electronic Money Institution)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Courtiers Investment Services Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Merrion Stockbrokers Ltd (Clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Linton Capital UK (clone)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Leeway Financial Services (clone of appointed representative firm)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
GFS Renewable Energy (Clone of UK registered limited company)
|
Financial Conduct Authority |
United Kingdom
|
20200424
24 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
www.accessfinancenz.com
|
Financial Markets Authority |
New Zealand
|
20200423
23 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
PRBS Gestion Group LLC
|
Polish Financial Supervision Authority |
Poland
|
20200422
22 Apr 2020
|
Miscellaneous |
The entity operates under the business name Pariba Group and Partner Groupe
|
|
Crestview Exploration Inc.
|
Autorité des marchés financiers |
Quebec
|
20200421
21 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
A mailing sent from a “stock analyst and geologist” to residents of B.C., Alberta, Manitoba and Saskatchewan makes exaggerated claims about Crestview Exploration Inc., predicting that its stock price “will soar as the recession hits.” The letter come
more
|
|
Numis Portal (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200420
20 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
GeminiCPL (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200420
20 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
PhillipCapital UK (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200420
20 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Bourse Assistance (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200420
20 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Fortune Trade FX (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200420
20 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Avenir Epargne (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200420
20 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Qualion Finance (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200420
20 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
HSBC Invest Direct / HSBC InvestDirect (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200420
20 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
FrankfurtFX – Diamond Club (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200420
20 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
GoldenCFD Broker Firma
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200420
20 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Meredith and Gellar Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20200417
17 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Hoch Capital ltd - website www.tradeatf.com
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200417
17 Apr 2020
|
Miscellaneous |
Consob has ordered, pursuant to Article No. 36, paragraph 2-terdecies, of the Law-Decree No. 34/2019, (converted by Law No. 58/2019), to the providers of Internet connectivity services, the blackout of the website www.tradeatf.com, through which Hoch
more
|
|
fraudulent initiatives that take advantage of the coronavirus pandemic
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200417
17 Apr 2020
|
Miscellaneous |
Consob points out that the dramatic news about virus outbreaks can be an opportunity for malicious people to spread false or misleading information to take unfair advantage of pandemic fears and try to manipulate financial markets and investors. In p
more
|
|
Direct Coin Limited, Level Up Capital, Premium Solutions, DevTech Holding
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200417
17 Apr 2020
|
Miscellaneous |
Consob has ordered the blackout of 4 new websites who are illegally offering financial services.
more
|
|
American Vertex Trading Corporation Ltd
|
Securities and Futures Commission |
Hong Kong
|
20200417
17 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Capital Markets
|
Securities and Futures Commission |
Hong Kong
|
20200417
17 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MetalsWise
|
Financial Markets Authority |
New Zealand
|
20200417
17 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Astor Capital Fund Limited
|
British Columbia Securities Commission |
British Columbia
|
20200416
16 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Halifax & Associates
|
British Columbia Securities Commission |
British Columbia
|
20200416
16 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Best Rate ISAS
|
Financial Conduct Authority |
United Kingdom
|
20200416
16 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Smith, Barnes & Wood
|
Financial Conduct Authority |
United Kingdom
|
20200416
16 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
World Trade Consulting
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200416
16 Apr 2020
|
Miscellaneous |
No additional comments posted.
|
|
BinaryFx Pro
|
Malta Financial Services Authority |
Malta
|
20200416
16 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
IbanFX Limited
|
Malta Financial Services Authority |
Malta
|
20200416
16 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Crypto Foxtrades
|
Malta Financial Services Authority |
Malta
|
20200416
16 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
COINMALEX
|
Malta Financial Services Authority |
Malta
|
20200416
16 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MarketsFX – Unlicensed Exchange
|
Malta Financial Services Authority |
Malta
|
20200416
16 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Eternity Finance
|
Malta Financial Services Authority |
Malta
|
20200416
16 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
FCA
|
Financial Conduct Authority |
United Kingdom
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Brokermasters
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200415
15 Apr 2020
|
Miscellaneous |
No additional comments posted.
|
|
Claims Assistance UK
|
Financial Conduct Authority |
United Kingdom
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Deutsche Crypton
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200415
15 Apr 2020
|
Miscellaneous |
No additional comments posted.
|
|
Harpersfield Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
https://swissmarketindex.com
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200415
15 Apr 2020
|
Miscellaneous |
No additional comments posted.
|
|
SWISS CAPITAL FM
|
Financial Conduct Authority |
United Kingdom
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
LV GROW MARKET
|
Financial Conduct Authority |
United Kingdom
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
GO365.io
|
Financial Conduct Authority |
United Kingdom
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
GLOBAL CAPITAL HOLDINGS
|
Financial Conduct Authority |
United Kingdom
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
FINIX CAPITAL
|
Financial Conduct Authority |
United Kingdom
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
CRYPTOMARKET
|
Financial Conduct Authority |
United Kingdom
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
BROKERS COMMUNITY- MARKET EFFECT
|
Financial Conduct Authority |
United Kingdom
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
BONDS FINDER
|
Financial Conduct Authority |
United Kingdom
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
ASH TRADES
|
Financial Conduct Authority |
United Kingdom
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Ward Henderson Management
|
Financial Supervisory Commission |
Chinese Taipei
|
20200415
15 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Our records show that Ward Henderson Management does not obtain the license from the FSC and is not allowed to conduct securities businesses and offer investment services in Taiwan. Besides, Ward Henderson Management has not legally registered in Tai
more
|
|
Radford Taylor Partners
|
Financial Supervisory Commission |
Chinese Taipei
|
20200415
15 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Our records show that Radford Taylor Partners does not obtain the license from the FSC and is not allowed to conduct securities businesses and offer investment services in Taiwan. Besides, Radford Taylor Partners has not legally registered in Taiwan.
more
|
|
Capital Grow Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200415
15 Apr 2020
|
Miscellaneous |
No additional comments posted.
|
|
Horse Forex
|
Financial Markets Authority |
New Zealand
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Whitley Trading Group
|
Financial Markets Authority |
New Zealand
|
20200415
15 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
website www.stocksons.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200414
14 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Nationalbondcompare.com
|
Financial Conduct Authority |
United Kingdom
|
20200414
14 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Premium Systems / Trendingraphs
|
Financial Conduct Authority |
United Kingdom
|
20200414
14 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fraktal Trader sp. z o.o. sp.k.
|
Polish Financial Supervision Authority |
Poland
|
20200414
14 Apr 2020
|
Miscellaneous |
No additional comments posted.
|
|
Fraktal Trader sp. z o.o. International sp. k.
|
Polish Financial Supervision Authority |
Poland
|
20200414
14 Apr 2020
|
Miscellaneous |
Proceedings in respect of an act punishable under Article 178 of the Act on trading in financial instruments. The Chairman of the KNF joined the proceedings initiated by another entity.
|
|
Fraktal Trader S.C.
|
Polish Financial Supervision Authority |
Poland
|
20200414
14 Apr 2020
|
Miscellaneous |
Proceedings in respect of an act punishable under Article 178 of the Act on trading in financial instruments. The Chairman of the KNF joined the proceedings initiated by another entity.
|
|
Fraktal Trader LLC
|
Polish Financial Supervision Authority |
Poland
|
20200414
14 Apr 2020
|
Miscellaneous |
Proceedings in respect of an act punishable under Article 178 of the Act on trading in financial instruments. The Chairman of the KNF joined the proceedings initiated by another entity.
|
|
FT Szkolenia S.C.
|
Polish Financial Supervision Authority |
Poland
|
20200414
14 Apr 2020
|
Miscellaneous |
Proceedings in respect of an act punishable under Article 178 of the Act on trading in financial instruments. The Chairman of the KNF joined the proceedings initiated by another entity.
|
|
Coin2FX
|
Financial Conduct Authority |
United Kingdom
|
20200414
14 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
https://scksecurities.com
|
Securities and Futures Commission |
Hong Kong
|
20200414
14 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
BCG Invest
|
British Columbia Securities Commission |
British Columbia
|
20200409
09 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
FCOEX
|
British Columbia Securities Commission |
British Columbia
|
20200409
09 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ROFX
|
British Columbia Securities Commission |
British Columbia
|
20200409
09 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MetaProTrader
|
British Columbia Securities Commission |
British Columbia
|
20200409
09 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
JT Trader Financial Services Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20200409
09 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
BlackLight SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200409
09 Apr 2020
|
Miscellaneous |
No additional comments posted.
|
|
https://web.winnabao.com
|
Securities and Futures Commission |
Hong Kong
|
20200409
09 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Spark Global Ltd
|
Financial Conduct Authority |
United Kingdom
|
20200408
08 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
My Safe Market
|
Financial Conduct Authority |
United Kingdom
|
20200408
08 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Theisaexpert.co.uk / The ISA Expert
|
Financial Conduct Authority |
United Kingdom
|
20200408
08 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
MCM FX
|
Financial Conduct Authority |
United Kingdom
|
20200408
08 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Tesco Plc Trade
|
Financial Conduct Authority |
United Kingdom
|
20200408
08 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
: UK Electronic / Instagram Account: @Ukelectronic
|
Financial Conduct Authority |
United Kingdom
|
20200408
08 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Litterman FX
|
Financial Conduct Authority |
United Kingdom
|
20200408
08 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Marketcapital.co
|
Financial Conduct Authority |
United Kingdom
|
20200408
08 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
CHINA BEIJING GLOBAL TRADING
|
Financial Conduct Authority |
United Kingdom
|
20200408
08 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
website www.bourse-electricite.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200408
08 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.qfprivate.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200407
07 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Swiss General Credit LLC
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200407
07 Apr 2020
|
Miscellaneous |
No additional comments posted.
|
|
Baxter & Grant
|
Financial Market Authority |
Austria
|
20200407
07 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Kepercoin
|
Financial Market Authority |
Austria
|
20200407
07 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Tradofx Limited / ITQ Code LTD
|
Financial Market Authority |
Austria
|
20200407
07 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
https://ofchk.com/index-en.htm
|
Securities and Futures Commission |
Hong Kong
|
20200407
07 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.worldclear.cloudtree.co
|
Financial Markets Authority |
New Zealand
|
20200407
07 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
www.gorisemarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200406
06 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HERMES VENTURES LIMITED
more
|
|
https://marketsfx.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200406
06 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MARKETS FX
|
|
www.bitfreezy.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200406
06 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BITFREEZY FINANCIALS LLC
|
|
www.10crypto.io/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200406
06 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
10CRYPTO
|
|
Cream PPI (Scam)
|
Financial Conduct Authority |
United Kingdom
|
20200406
06 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Oralad Management (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200406
06 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
CTindexforex (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200406
06 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Gladstone Capital Management (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200406
06 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Oliver Pearson Advisory (Clone of an EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200406
06 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Go Compare the Bond Market / Gocomparethebondmarket.com (Clone of FCA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200406
06 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
SANDBERG FINANCIALS LLC
|
Financial Conduct Authority |
United Kingdom
|
20200406
06 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Using COVID-19 as reason for investments.
|
|
Hongkong Rarlon futures Co., Limited
|
Securities and Futures Commission |
Hong Kong
|
20200406
06 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Profit Bitcoin
|
Financial Markets Authority |
New Zealand
|
20200406
06 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Secured Investment
|
Financial Conduct Authority |
United Kingdom
|
20200403
03 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
National Investor Guide
|
Financial Conduct Authority |
United Kingdom
|
20200403
03 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fixed Rate Bonds /Safe Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200403
03 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Best Fixed Rates / BestFixedRates
|
Financial Conduct Authority |
United Kingdom
|
20200403
03 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Carter-Banks
|
Financial Conduct Authority |
United Kingdom
|
20200403
03 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Forex and crypto assets investment offerings
|
Autorité des marchés financiers |
France
|
20200403
03 Apr 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF and ACPR’s have updated the list of unauthorised entities offering investments in forex and derivatives on crypto assets
|
|
Bicore Mining
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200403
03 Apr 2020
|
Miscellaneous |
No additional comments posted.
|
|
Smith & Williamson Holdings (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200403
03 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
website www.fourpoints-invest.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200403
03 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.akwealth-spf.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200403
03 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fraudulent online trading platforms
|
Financial Services and Markets Authority |
Belgium
|
20200403
03 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning on :
more
|
|
www.icoinlimited.co.nz
|
Financial Markets Authority |
New Zealand
|
20200403
03 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Unauthorised offers of atypical investments
|
Autorité des marchés financiers |
France
|
20200402
02 Apr 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF has issued an update to its list of companies offering atypical investments without being authorised to do so.
|
|
"AirBit Club", Global Pegasus Ltd, “DAX1001”, Dubai FXM Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200402
02 Apr 2020
|
Miscellaneous |
CONSOB has ordered the black-out of 6 new websites that abusively offer financial services/financial products: 4 abusive financial intermediation sites and 2 sites through which financial products are offered without a prospectus.
more
|
|
Fincial-liquidity.com (cloned firm)
|
Financial Services and Markets Authority |
Belgium
|
20200402
02 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning
|
|
MCC Group, MCC Capital Gmbh, MC Capital Gmbh, MCC Oil and Gas, MCC Holding
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200402
02 Apr 2020
|
Miscellaneous |
No additional comments posted.
|
|
Rimmerson Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20200401
01 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bitcoin-Evolution / Bitcoin-Revolution
|
Financial Services and Markets Authority |
Belgium
|
20200401
01 Apr 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning
|
|
https://nex.cool
|
Financial Markets Authority |
New Zealand
|
20200401
01 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Speed Solutions Ltd
|
Financial Markets Authority |
New Zealand
|
20200401
01 Apr 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
website www.actio-conseil.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200331
31 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ESO MM LLC
|
Securities and Futures Commission |
Hong Kong
|
20200331
31 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
xsystemtrader.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
vistradingoption.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
VISOPTIONTRADE
|
|
topinvestus.co/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TOPINVESTUS
|
|
systres.site/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
marketrobo.net
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MARKETROBO LTD
|
|
daxioma.com/es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
DAXIOMA
more
|
|
cryptotrades247.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BIT TRADE247
|
|
24cryptoexpertoptions.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FX24 CRYPTO EXPERT OPTIONS
more
|
|
Larkin Asset Management
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'boiler room'
|
|
Byron Stafford
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'boiler room'
|
|
Sapone Trading
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'boiler room'
|
|
J McKenzie / McKenzie International Investments
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'boiler room'
|
|
Compass Consulting Group
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'boiler room'
|
|
Gato Capital Partners
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'boiler room'
|
|
'Wij zijn de oplossing'
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
'We zijn verenigd'
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Trust Online Credit Bvba (cloned firm)
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Salem Lening
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Rossen Financiën
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Fast Loan International
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
BCI Financial
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Access Centrale Bank
|
Financial Services and Markets Authority |
Belgium
|
20200330
30 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
FMG Investment Holdings Ltd trading as ClearSpring Capital (Clone of EEA authorised firm and UK incorporated company)
|
Financial Conduct Authority |
United Kingdom
|
20200330
30 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
HSBC Global Banking and Markets (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200330
30 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Horizon Patrimoine (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200330
30 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Bad Credit Loans Company (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200330
30 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Central Loan (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200330
30 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Live Finance (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200330
30 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Libra Service (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200330
30 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
My Money Market
|
Financial Conduct Authority |
United Kingdom
|
20200327
27 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Scams related to the coronavirus epidemic
|
Autorité des marchés financiers |
France
|
20200327
27 Mar 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF and the ACPR have published a warning regarding the risk of scams related to the coronavirus epidemic.
|
|
Fixed Profits
|
Financial Conduct Authority |
United Kingdom
|
20200327
27 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
SCHÖNBÄCHLER (SCH) INVESTMENTS SÀRL
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200327
27 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
My Investment Market
|
Financial Conduct Authority |
United Kingdom
|
20200326
26 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Alliance SCPI & Park
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200326
26 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
EXM solution
|
Finansinspektionen |
Sweden
|
20200326
26 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
JT Trader
|
Finansinspektionen |
Sweden
|
20200326
26 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
financial PARTNERS, France
|
Financial Market Authority |
Liechtenstein
|
20200326
26 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning of clone firm: https://www.financialpartners-ltd.com/
|
|
Glams Group and Vega Italia
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200326
26 Mar 2020
|
Miscellaneous |
CONSOB warns that:
more
|
|
Weiss Private Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200326
26 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
Tung Shun Securities Limited and AB Research Partners Inc.
|
Financial Markets Authority |
New Zealand
|
20200325
25 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Investment Supermarket / Eclipse Marketing Limited
|
Financial Conduct Authority |
United Kingdom
|
20200325
25 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
BENSON MINES CONSULTANCY / BENSON MINES
|
Financial Conduct Authority |
United Kingdom
|
20200325
25 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
website www.eps-gestion.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Spark Global Limited
|
Securities and Futures Commission |
Hong Kong
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://confixfinancial.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
DKG GROUP LTD
|
|
https://unitedbtcbank.com/es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
UNITED BTC BANK
|
|
https://bsfinance.biz
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BS FINANCE LIMITED
|
|
https://binarytrade360.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BIN TRADES LIMITED
|
|
www.daxbase.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CLEVER TECHNOLOGIES LTD
|
|
www.traderexperience.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TRADERXP
|
|
https://richmondfx.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
RICHMONDFX
more
|
|
https://boxinvesting.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Box Investing
more
|
|
www.royaltd24.net
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ROYALTD24
|
|
www.tradesrun.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TRADESRUN
more
|
|
www.prime-market.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PRIME MARKETS
more
|
|
www.cfdiz.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CFDIZ
more
|
|
www.bgoldcapital.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BGOLD CAPITAL
more
|
|
https://raxtrade.com/app/trade/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MEG TRANS LTD
more
|
|
https://es.greenmillions.live/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GREEN MILLIONS
|
|
https://qcapitalforex.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200324
24 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
QCAPITALFOREX
|
|
Price Action Forex
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
Compare ISAs
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
Purple Finance Cards
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
www.compare-fixed-isa-rates-today.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Assured Finances
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
https://mxmtrade.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
COMMERCIAL MAXIMUM – F.Z.E
more
|
|
https://es.probtctrade.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PRO PHET TRADE
more
|
|
https://fxcryptoclub.cc
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CAPCORP LTD
more
|
|
https://million.money/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MILLION MONEY
|
|
http://yszzexpokch.duckdns.org/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.yszzexpokch.duckdns.org/gvc-gaesco-comerciante-en-lnnea-de-cfd89.php
more
|
|
https://wdcmarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WDC MARKETS
more
|
|
Investments in whiskey
|
Autorité des marchés financiers |
France
|
20200323
23 Mar 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF has issued a warning regarding investments in whisky as none have requested the pre-marketing registration.
|
|
Luxstar Group (clone)
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
LP Wealth Management / Leonia Private Wealth Management (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Luxstar Asset Management (clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Flairfinance Asset Management (clone of Appointed Representative firm)
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Ignis Markets (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
RSIF International (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Reiner Jahn (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Go Compare Investments (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
CIG Fund Management (Clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Financial Loan Service
|
Financial Conduct Authority |
United Kingdom
|
20200323
23 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Goldberg Financial
|
Financial Market Authority |
Austria
|
20200323
23 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
United LondonBrokers
|
Financial Market Authority |
Austria
|
20200323
23 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Digital Exchange Limited/ Securex Plus Solutions EOOD
|
Financial Market Authority |
Austria
|
20200323
23 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Paddington Wealth
|
Financial Conduct Authority |
United Kingdom
|
20200320
20 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Kaze Blockchain Solutions
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200320
20 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
Best Rate Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200319
19 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Huatai Stock
|
Securities and Futures Commission |
Hong Kong
|
20200319
19 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Berwick Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20200319
19 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
KlickDeals GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200319
19 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
Share Founders
|
Securities and Futures Commission |
Hong Kong
|
20200319
19 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Regency Limited
|
Securities and Futures Commission |
Hong Kong
|
20200319
19 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.tangeh.com
|
Securities and Futures Commission |
Hong Kong
|
20200318
18 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.goldingcapitalpartners.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200318
18 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.sck-invest.com
|
Securities and Futures Commission |
Hong Kong
|
20200318
18 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website https://gaesco-gestion.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200317
17 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.pms-gestion.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200317
17 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Walker Bryan
|
Financial Conduct Authority |
United Kingdom
|
20200317
17 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CfdSwiss
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200317
17 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
www.zczcjj.com
|
Securities and Futures Commission |
Hong Kong
|
20200317
17 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Trade With Lucas / James Frederick Lukas
|
Financial Conduct Authority |
United Kingdom
|
20200316
16 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
MTI24
|
Financial Conduct Authority |
United Kingdom
|
20200316
16 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Capitalcoin X
|
Financial Conduct Authority |
United Kingdom
|
20200316
16 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Credit FInance Ltd / Credit Finance
|
Financial Conduct Authority |
United Kingdom
|
20200316
16 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
FX Goat
|
Financial Conduct Authority |
United Kingdom
|
20200316
16 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Carter FS / Carter FS FinServices
|
Financial Conduct Authority |
United Kingdom
|
20200316
16 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
美港交易中心 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20200316
16 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Claims Consultants
|
Financial Conduct Authority |
United Kingdom
|
20200313
13 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
ING Investment Bank / ING Bank (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200313
13 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
BlackRock Advisors (UK) Ltd (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200313
13 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Town Loans (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200313
13 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Silicon Valley bank (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200313
13 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Strategic Investment Funds (Clone of recognised fund)
|
Financial Conduct Authority |
United Kingdom
|
20200313
13 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Horizon-asset.Ltd (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200313
13 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Swiss Life Asset Group (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200313
13 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
IEC International
|
Securities and Futures Commission |
Hong Kong
|
20200313
13 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Trade99
|
Financial Markets Authority |
New Zealand
|
20200312
12 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
TrustFX
|
Financial Conduct Authority |
United Kingdom
|
20200312
12 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Swiss500
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200312
12 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
Top Trade Pro
|
Financial Conduct Authority |
United Kingdom
|
20200311
11 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
GCG 24 / Global Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20200311
11 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
FteFXPro / FTE FX
|
Financial Conduct Authority |
United Kingdom
|
20200311
11 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
CG TRADE
|
Financial Services Commission |
Mauritius
|
20200311
11 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Sepafx
|
Finansinspektionen |
Sweden
|
20200310
10 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Blue Stone Invest Gmbh
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200309
09 Mar 2020
|
Miscellaneous |
Consob has prohibited the offer to the public of investments of a financial nature made by Blue Stone Invest Gmbh also through the site www.bluestoneinvest.at.
|
|
Blue Stone Invest Gmbh, Elit Property Vision Ltd and FxRoyal Ltd, Platiniumfx Ltd, "Terra Finance", Redal LTD and Elit Property Vision Ltd, Ankor Group Investment Ltd and IFXBanc Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200309
09 Mar 2020
|
Miscellaneous |
Consob exercised for the first time the new power to order internet service providers to block access from Italy to websites through which, in the absence of a prospectus, financial products are offered to the public, or offers of financial products
more
|
|
https://anzcapitals.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200309
09 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ANZ CAPITALS
more
|
|
http://bitcoincircuitapp.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200309
09 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.brightfinance.co/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200309
09 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BRIGHTFINANCE
more
|
|
https://codigodelcaballero.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200309
09 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://cryptolegacypro.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200309
09 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.daxrobot.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200309
09 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Dax Robot
|
|
www.gfxroyal.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200309
09 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GFXROYAL
more
|
|
https://lvmexchange.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200309
09 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
LVM EXCHANGE
more
|
|
www.okboptions.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200309
09 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
IKKO TRADER
more
|
|
www.swedencap.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200309
09 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
SWEDEN CAPITAL LLC.
|
|
https://topdiamondfx.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200309
09 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TOPDIAMONDFX LIMITED
|
|
https://trendex.co/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200309
09 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Trendex
more
|
|
www.zxbittrade.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200309
09 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ZXBITTRADE
more
|
|
Fx Pro (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200308
08 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Citigroup Asset Management / Citibank Asset Management (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200308
08 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Herald Investment Trust (Clone of UK registered company)
|
Financial Conduct Authority |
United Kingdom
|
20200308
08 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Unique Payment Services (clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20200308
08 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
IVL Leasing Limited (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200308
08 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Euro 2 Pocket / Euro2Pocket (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200308
08 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
GMGFX (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200305
05 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Open Hub Pro
|
Financial Conduct Authority |
United Kingdom
|
20200305
05 Mar 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
EasyTrade55,"Pro Star", "Royalbanc", Marketsbull, “Tfx25”, Kronosinvestit
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200305
05 Mar 2020
|
Miscellaneous |
Consob has ordered the black-out of 7 new websites that offer financial services illegally.
more
|
|
"VirtualStocks", "AJ Asset", Light Media, GlobalFx, "4FX Royal", Prime-Investfx
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200305
05 Mar 2020
|
Miscellaneous |
Consob has ordered the black-out of 7 new websites that offer financial services illegally.
more
|
|
CONSENCCO Holdings Financial Corporation
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200305
05 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
World Capital Group SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200304
04 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
World Invest Group SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200304
04 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
Gelios Trade Limited
|
Central Bank of Ireland |
Ireland
|
20200303
03 Mar 2020
|
Miscellaneous |
Gelios Trade Limited is not authorised by the Central Bank of Ireland to provide investment services. The firm purports to be based in Ireland.
|
|
Transfer Authority International
|
Central Bank of Ireland |
Ireland
|
20200303
03 Mar 2020
|
Miscellaneous |
Transfer Authority International is not authorised by the Central Bank of Ireland to provide investment services. The firm purports to be based in China and Japan.
|
|
Devon Fairchild & Co.
|
Central Bank of Ireland |
Ireland
|
20200303
03 Mar 2020
|
Miscellaneous |
Devon Fairchild & Co. is not authorised by the Central Bank of Ireland to provide investment services. The firm purports to be based in Singapore.
|
|
www.financial-signal.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200303
03 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FINANCIAL SIGNAL
|
|
WWW.STSROYAL.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200303
03 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
STS ROYAL LTD
|
|
SLITE BET CLUB LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200303
03 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
NETBIT SERVICES AND SOLUTIONS LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200303
03 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ELITE TRADING
more
|
|
HTTPS://APOLLOSCAPITAL.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200303
03 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Apollos Capital
|
|
Alexander Kingsley Private Equity Inc
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20200303
03 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Alexander Kingsley Private Equity Inc. This company is a suspected boiler room. Alexander Kingsley Private Equity Inc has approached persons with
more
|
|
Swisscryptocap
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200303
03 Mar 2020
|
Miscellaneous |
No additional comments posted.
|
|
Q8 Securities
|
Capital Markets Authority |
Kuwait
|
20200303
03 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Operating without a license
|
|
Hong Kong Science and Technology Innovation Equity Transfer Market Co., Ltd
|
Securities and Futures Commission |
Hong Kong
|
20200303
03 Mar 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Claremont Baker Brokerage (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200228
28 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
World Co-Investment Fund (website www.wcifund.com)
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200228
28 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.ac-europe-sa.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200228
28 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.aci-capital.net
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200228
28 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ADVANCE TRADING SYSTEMS
|
Financial Conduct Authority |
United Kingdom
|
20200228
28 Feb 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
EOS Markets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200228
28 Feb 2020
|
Miscellaneous |
No additional comments posted.
|
|
Online Currency Corp Ltd (clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20200227
27 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Cloning details of previously FCA authorised firm
|
|
Private Wealth Management LLP
|
Financial Conduct Authority |
United Kingdom
|
20200227
27 Feb 2020
|
Miscellaneous |
No additional comments posted.
|
|
www.interexfinance.com
|
Financial Market Authority |
Austria
|
20200227
27 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Jubilee Ace
|
Financial Market Authority |
Austria
|
20200227
27 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.bankobaku.com
|
Financial Market Authority |
Austria
|
20200227
27 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Paraiba World Ltd.
|
Financial Market Authority |
Austria
|
20200227
27 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
BIC Asset Management
|
Financial Market Authority |
Austria
|
20200227
27 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
La Roche Capital Corp.
|
Financial Market Authority |
Austria
|
20200227
27 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
FX NextGen Ltd
|
Financial Market Authority |
Austria
|
20200227
27 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
CRT Capital Ltd.
|
Financial Market Authority |
Austria
|
20200227
27 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Cleantech Europe Escrow LP
|
Financial Conduct Authority |
United Kingdom
|
20200227
27 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
CHS Premium
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200227
27 Feb 2020
|
Miscellaneous |
No additional comments posted.
|
|
ICT Innovative Crypto Technology
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200227
27 Feb 2020
|
Miscellaneous |
No additional comments posted.
|
|
https://emmegiconsulenzesagl.com/
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200226
26 Feb 2020
|
Miscellaneous |
No additional comments posted.
|
|
Vendome Asset Management (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200226
26 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
RoyalsFX
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200226
26 Feb 2020
|
Miscellaneous |
No additional comments posted.
|
|
Corporate Consulting Group Inc.
|
Financial Conduct Authority |
United Kingdom
|
20200226
26 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Currie Consultancy Group
|
Financial Conduct Authority |
United Kingdom
|
20200225
25 Feb 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
TL Financial Consultancy (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200225
25 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
BT Save
|
Financial Conduct Authority |
United Kingdom
|
20200225
25 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Duxa Capital
|
Financial Conduct Authority |
United Kingdom
|
20200225
25 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Everyday Finances
|
Financial Conduct Authority |
United Kingdom
|
20200225
25 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Hiroseoption (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200225
25 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
website www.bsglobalinvest.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.central-spot.com (cloned firm)
|
Financial Services and Markets Authority |
Belgium
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning
|
|
https://tradingaureo.webnode.es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
SERVICIOS FINANCIEROS AUREO
|
|
www.agmarkets.io/es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ABSOLUTE GLOBAL MARKETS
more
|
|
www.proper-trade.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
B-MARKET LIMITED
more
|
|
http://www.parverinvest.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.rimarkets-fx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
RIMARKETS
more
|
|
www.24cfd.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
24CFD
|
|
www.tradecenter.fm
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TRADE CENTER
more
|
|
https://twitter.com/TGRN_Capital
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Likewise, it warns of the linking of that web page with TRADING GANADOR / TRADING DE GANADORES was subject to warning by the CNMV.
|
|
www.lotuscfd.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
LOTUSCFD
|
|
https://lincolnfx.capital
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
LINCOLNFX CAPITAL LTD
|
|
https://gaesco-gestion.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not related with the entity GVC GAESCO VALORES S.V., S.A. which is operating in Spain as Investment Firm with the number 182.
|
|
www.livemarkets.es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
LIVEMARKETS EAFI SA
more
|
|
Cryptocurrency fraud: the FSMA updates its list of suspicious sites
|
Financial Services and Markets Authority |
Belgium
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning on :
more
|
|
www.aes-financial.com (cloned firm)
|
Financial Services and Markets Authority |
Belgium
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning
|
|
www.actio-prevoyance.com
|
Financial Services and Markets Authority |
Belgium
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning
|
|
www.cesco-invest.com (cloned firm)
|
Financial Services and Markets Authority |
Belgium
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning
|
|
www.ingroupe-online.com / www.market.online-ingroupe.com (cloned firm)
|
Financial Services and Markets Authority |
Belgium
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning
|
|
www.winbankfinance.online (cloned firm)
|
Financial Services and Markets Authority |
Belgium
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning
|
|
www.intesa-gestion.com (cloned firm)
|
Financial Services and Markets Authority |
Belgium
|
20200224
24 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning
|
|
Chryson Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200221
21 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Intelligent Money Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200221
21 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Little Loans Lender Ltd / Little Loans (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200221
21 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Advisory Broker Services / Advisory Broker Trading / AB Services (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200221
21 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Alan Jones Financial Services Limited (clone of Appointed Representative firm)
|
Financial Conduct Authority |
United Kingdom
|
20200221
21 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Global Top Marketing LTD and GPS Marketing Ltd, "VetoroBanc" and "Vetoro, Inc." Premium Solutions Ltd, Fintrade Limited, FM Solutions Group Limited, Bauman Ltd and Pacific Consulting Co Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200221
21 Feb 2020
|
Miscellaneous |
CONSOB has ordered the black-out of 8 new websites that offer financial services illegally.
more
|
|
China Citic Bank (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200221
21 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
欣鴻國際金控 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20200221
21 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.investmentsfirst.com
|
Securities and Futures Commission |
Hong Kong
|
20200221
21 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Bitprime Ltd. dba Bitprimeprofx
|
British Columbia Securities Commission |
British Columbia
|
20200220
20 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Credit Finance UK Limited (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200220
20 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Invest My ISA/ InvestMyISA
|
Financial Conduct Authority |
United Kingdom
|
20200220
20 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Swiss Crypto Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200219
19 Feb 2020
|
Miscellaneous |
No additional comments posted.
|
|
SL Markets
|
Financial Markets Authority |
New Zealand
|
20200219
19 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Boll Financial Holdings Limited
|
Financial Markets Authority |
New Zealand
|
20200219
19 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Ashimoto Kogyo Co. Ltd
|
Financial Markets Authority |
New Zealand
|
20200219
19 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
website www.luxstargroup.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200218
18 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Asset Trade International (Europe) S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200218
18 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Alliance Internationale
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20200218
18 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.qualion.co.uk
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200217
17 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
PAIS CAPITAL GROUP
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200217
17 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PAIS CAPITAL MARKETING LTD
more
|
|
https://fxfinest.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200217
17 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FXFINEST
|
|
www.crypto300club.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200217
17 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CRYPTO 300 CLUB
|
|
Country Loans (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200217
17 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Data Financial Services Group
|
Financial Conduct Authority |
United Kingdom
|
20200214
14 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Info Bond Finder/ Bond Finder
|
Financial Conduct Authority |
United Kingdom
|
20200214
14 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
AT UK (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200213
13 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
IOS Investments Limited
|
Financial Markets Authority |
New Zealand
|
20200212
12 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
bacfinancelimited.com
|
Financial Markets Authority |
New Zealand
|
20200212
12 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Assetz Capital (Clone of FCA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200212
12 Feb 2020
|
Miscellaneous |
No additional comments posted.
|
|
http://4507w.xindemo.cn
|
Securities and Futures Commission |
Hong Kong
|
20200212
12 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Star Trader PTE Ltd
|
Securities and Futures Commission |
Hong Kong
|
20200212
12 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Mutuelle Credit
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200211
11 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
European lnvestment Systems
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200211
11 Feb 2020
|
Miscellaneous |
No additional comments posted.
|
|
AlphaEX
|
Malta Financial Services Authority |
Malta
|
20200211
11 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
KREDIT GROUP FINANCE
|
Malta Financial Services Authority |
Malta
|
20200211
11 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://manuel.omegaita.it, www.manuelcooper.com, Expedite Spzoo and Nautilius Investment Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200211
11 Feb 2020
|
Miscellaneous |
has prohibited:
more
|
|
Honest Capital Ltd, GAM Group Ltd, Waltika Partners LTD, GotechFX, cryptobase, Trade Com Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200211
11 Feb 2020
|
Miscellaneous |
Consob has ordered the black-out of 8 new websites that offer financial services illegally.The companies and websites are listed below:
more
|
|
Capital International Management Company / CIMC (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200211
11 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fixed Income
|
Financial Conduct Authority |
United Kingdom
|
20200211
11 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Croceus Limited/ Croceus Invest
|
Financial Conduct Authority |
United Kingdom
|
20200211
11 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fraudulent offers of investment in whisky
|
Financial Services and Markets Authority |
Belgium
|
20200211
11 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning on :
more
|
|
LTC Markets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200211
11 Feb 2020
|
Miscellaneous |
No additional comments posted.
|
|
Holbert & Greaves
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200211
11 Feb 2020
|
Miscellaneous |
No additional comments posted.
|
|
www.hkbcl.com
|
Securities and Futures Commission |
Hong Kong
|
20200211
11 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.hopesecurities.com
|
Securities and Futures Commission |
Hong Kong
|
20200211
11 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
FSM Smart Ltd, Muller Enterprise Ltd, FAH Investment LTD, Gembell Limited Services – PO TRADE LTD – Tifiya Group s.r.o, ForTradersFX Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200210
10 Feb 2020
|
Miscellaneous |
Consob has ordered the black-out of 7 new websites that offer financial services illegally.
more
|
|
www.dachfin.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200210
10 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
DACHFIN
|
|
FOREX PROJECT CLUB
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200210
10 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.forexprojectclub.com
more
|
|
https://horseforex.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200210
10 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Horse Group HK Ltd
more
|
|
https://es.lblv.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200210
10 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
LBLV Ltd
|
|
www.lotsfx.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200210
10 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Euro Investement House Ltd
|
|
https://nobeltrade.com/es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200210
10 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
NOBEL TRADE INVESTMENTS LLC
|
|
https://opusbusiness.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200210
10 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Opus Business International LTD
|
|
https://thepremiumbrokers.com/es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200210
10 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
THE PREMIUM BROKERS
more
|
|
www.royalfunds.co
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200210
10 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ROYAL FUNDS
|
|
https://tbfxtrades.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200210
10 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TBFX TRADES
more
|
|
www.uniglobemarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200210
10 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
UNIGLOBE MARKETS LTD
|
|
www.pmt247.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200210
10 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PMT 247 LTD
|
|
First Choice Finance (clone)
|
Financial Conduct Authority |
United Kingdom
|
20200210
10 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Goldmans Banc (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200210
10 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Fraudulent online trading platforms
|
Financial Services and Markets Authority |
Belgium
|
20200210
10 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning regarding :
more
|
|
Apus Capital
|
Financial Conduct Authority |
United Kingdom
|
20200207
07 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Triton-Online (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200207
07 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Compass Consulting Group
|
Financial Market Authority |
Austria
|
20200207
07 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Swissinv24 Ltd
|
Financial Market Authority |
Austria
|
20200207
07 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
KJ Invest Capital Ltd
|
Financial Market Authority |
Austria
|
20200207
07 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Prestige Financial Markets
|
Financial Market Authority |
Austria
|
20200207
07 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
VIVAEXCHANGE OÜ
|
Financial Market Authority |
Austria
|
20200207
07 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
website www.clbrm-private.com (GW Investments)
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200206
06 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.conceptone-invest.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200206
06 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
New Rich Markets
|
Financial Conduct Authority |
United Kingdom
|
20200206
06 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Royal c bank / Axent Sigma Ltd
|
Finansinspektionen |
Sweden
|
20200206
06 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Terratradex
|
Finansinspektionen |
Sweden
|
20200206
06 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Cash Pug Finance (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200206
06 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
ABSL Umbrella Fund (Clone of Authorised Schedule 5 Firm)
|
Financial Conduct Authority |
United Kingdom
|
20200205
05 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Jakub Chrzanowski t/a BSM Ireland
|
Central Bank of Ireland |
Ireland
|
20200205
05 Feb 2020
|
Miscellaneous |
Jakub Chrzanowski t/a BSM Ireland is not authorised by the Central Bank of Ireland to provide investment services. The firm purports to be based in Ireland.
|
|
HB Global
|
Central Bank of Ireland |
Ireland
|
20200205
05 Feb 2020
|
Miscellaneous |
HB Global is not authorised by the Central Bank of Ireland to provide investment services. The firm purports to be based in Ireland.
|
|
InvestTeck
|
Central Bank of Ireland |
Ireland
|
20200205
05 Feb 2020
|
Miscellaneous |
InvestTeck is not authorised by the Central Bank of Ireland to provide investment services. The firm purports to be based in Ireland and Estonia.
|
|
4XFX
|
Central Bank of Ireland |
Ireland
|
20200205
05 Feb 2020
|
Miscellaneous |
4XFX is not authorised by the Central Bank of Ireland to provide investment services. The firm purports to be based in Estonia.
|
|
Intrgroup
|
Financial Conduct Authority |
United Kingdom
|
20200204
04 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
EOS Markets / Wilkinson Europe Ltd d
|
Financial Conduct Authority |
United Kingdom
|
20200204
04 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Legit-Loan Company / Legit Loan Company
|
Financial Conduct Authority |
United Kingdom
|
20200204
04 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Hamilon FE/ Hamiltonfe
|
Financial Conduct Authority |
United Kingdom
|
20200204
04 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
North American Securities Transfer
|
Financial Markets Authority |
New Zealand
|
20200204
04 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
website www.abakus-group-sa.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200203
03 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.lacompagniefinancieredebelmont.lu
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200203
03 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Best Loan Solution (clone of Appointed Representative firm)
|
Financial Conduct Authority |
United Kingdom
|
20200203
03 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
ATFXHK International Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200203
03 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
http://tradersallied.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200203
03 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TRADERS ALLIED
|
|
https://es.360worldbtc.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200203
03 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
360WORLDBTC
|
|
www.grahamfe.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200203
03 Feb 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GRAHAMFE
|
|
Vowfx
|
Financial Markets Authority |
New Zealand
|
20200203
03 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Halsted Holdings Limited
|
Financial Markets Authority |
New Zealand
|
20200203
03 Feb 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
First Recovery (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200131
31 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
website www.crypto-bull.io
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200131
31 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
First Call Reclaim
|
Financial Conduct Authority |
United Kingdom
|
20200130
30 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Omega Crypto
|
Financial Conduct Authority |
United Kingdom
|
20200130
30 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
No additional comments posted.
|
|
4fxroyal (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200129
29 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Aviva Investors Global Services / Avibonds (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200129
29 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
IPO-FX / Skylon Investments (clone of FCA recognised product and UK registered company)
|
Financial Conduct Authority |
United Kingdom
|
20200129
29 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
ATFX (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200129
29 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
RL Ltd, Tradepoint Systems Ltd, MT 500 Ltd, “Local Trader”, Ks-securities, Ace Capital Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200129
29 Jan 2020
|
Miscellaneous |
Consob has ordered the black-out of 7 new websites that offer financial services illegally.
more
|
|
ROX Capital AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200129
29 Jan 2020
|
Miscellaneous |
No additional comments posted.
|
|
website https://power-spot.eu
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200128
28 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
RushBanq
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200128
28 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
SOLYS Luxembourg
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200128
28 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Evolutive Banque (Revolt-Finance)
|
Financial Services and Markets Authority |
Belgium
|
20200128
28 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Imperial Finances
|
Financial Services and Markets Authority |
Belgium
|
20200128
28 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Global Credit (Global-loan)
|
Financial Services and Markets Authority |
Belgium
|
20200128
28 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Guy Berna (Clone of EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200127
27 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Coinyards
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200127
27 Jan 2020
|
Miscellaneous |
No additional comments posted.
|
|
Titon Associates Asset Management (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200127
27 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Sentinel Growth Portfolio Ltd (clone of FCA recognised product)
|
Financial Conduct Authority |
United Kingdom
|
20200127
27 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
www.pacificalliance-capital.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Pacific Alliance Capital LTD
|
|
https://4fxroyal.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
4FXROYAL
|
|
https://21stoptions.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
21 ST OPTIONS
|
|
www.55cmt.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CCAI Limited
more
|
|
www.cnbsfin.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CNBSFIN LTD
|
|
www.cobracfd.biz/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
COBRACFD LTD
|
|
www.cryptofxoption.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CRYPTOFXOPTION
more
|
|
https://es.forexone.co/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HB Enterprises OU
more
|
|
https://formula-espanola.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FORMULA ESPAÑOLA
|
|
https://fxmasterbot.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FX MASTER BOT
|
|
www.glob-markets.net / www.glob-markets.co
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GLOB-MARKETS
more
|
|
www.justperfectmarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
JUST PERFECT MARKETS LTD
|
|
https://ks-securities.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
KS-Securities Vermögensverwaltung GmbH
|
|
https://lvgrowmarkets.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ARROW CAPITAL LTD
more
|
|
http://tradermirandaofarre.blogspot.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
WVH Ethical / WVH Wealth Management / WVH Sustainable Portfolios (Clone of EEA Authorised Firm)
|
Financial Conduct Authority |
United Kingdom
|
20200127
27 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Tradition-Finance (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200127
27 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
www.quants-trade.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
QUANTS-TRADE
|
|
https://wisefunds.co / https://wisefunds.cc
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200127
27 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Wise Funds
|
|
website www.luxstaram.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200124
24 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.365gcc.io
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200124
24 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Concept Loans
|
Financial Conduct Authority |
United Kingdom
|
20200122
22 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Cashute Ltd (clone)
|
Financial Conduct Authority |
United Kingdom
|
20200122
22 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
ETRADER247
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200121
21 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
etrader247.com
|
|
forbslab.com/es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200121
21 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WALSH INVEST & TRADE LTD AND KAYESCENT CORP
more
|
|
F2 TRADING CORPORATION
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200121
21 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
f2tradingcorporation.com
more
|
|
Jürg Götze Asset Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200121
21 Jan 2020
|
Miscellaneous |
No additional comments posted.
|
|
Traders Watch
|
Financial Conduct Authority |
United Kingdom
|
20200121
21 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
CapCorp Ltd (“FX Crypto Club”)
|
Financial Market Authority |
Austria
|
20200121
21 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
MegaCoinFX
|
British Columbia Securities Commission |
British Columbia
|
20200121
21 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Tradewell.io
|
British Columbia Securities Commission |
British Columbia
|
20200121
21 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Aman Investment Group / Aman Trades
|
Financial Conduct Authority |
United Kingdom
|
20200120
20 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Absolute Global Markets
|
Financial Conduct Authority |
United Kingdom
|
20200120
20 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Tenaron Capital Management UK (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200120
20 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Tower Hill Limited
|
Financial Markets Authority |
New Zealand
|
20200120
20 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
GG Trade International Ltd, Boulder Wealth GG Trade and Jinshi Global Financial Group
|
Financial Markets Authority |
New Zealand
|
20200120
20 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Prestige-Asset or Prestige Asset Management (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200118
18 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm
|
|
Fixed Return Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200117
17 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Logoscript sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20200117
17 Jan 2020
|
Miscellaneous |
The Chairman of the KNF joined the proceedings initiated by another entity.
|
|
website www.altea-gestion.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200117
17 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website https://nexviainvest.co
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200117
17 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Ryde Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20200117
17 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.elitefinancesolutions.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200117
17 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Hong Kong Hongyi Futures Investment Co., Limited / HK Hongyi Capital Group Co. Limited
|
Securities and Futures Commission |
Hong Kong
|
20200117
17 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Tradewell
|
Ontario Securities Commission |
Ontario
|
20200116
16 Jan 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
Tradewell, offering investment services as found on its website at www.tradewell.exchange, is not registered in Ontario to engage in the business of trading in securities.
|
|
Algebris Investment
|
Financial Conduct Authority |
United Kingdom
|
20200116
16 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
HKGKFK International Limited
|
Securities and Futures Commission |
Hong Kong
|
20200116
16 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.chuangshengtz.com
|
Securities and Futures Commission |
Hong Kong
|
20200116
16 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.horizon-capman.com
|
Securities and Futures Commission |
Hong Kong
|
20200115
15 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
UK Finance Investments
|
Financial Conduct Authority |
United Kingdom
|
20200114
14 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK Financial Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200114
14 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
UK Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200114
14 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Wise Investments (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200114
14 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Compare ISA Deals
|
Financial Conduct Authority |
United Kingdom
|
20200114
14 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Kurt Barremaecker (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200114
14 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Noble Grossart Bank (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200114
14 Jan 2020
|
Miscellaneous |
Clone of FCA authorised firm
|
|
Benidict Hoffman
|
Financial Supervisory Commission |
Chinese Taipei
|
20200114
14 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Our records show that Benidict Hoffman does not obtain the license from the FSC and is not allowed to conduct securities businesses and offer investment services in Taiwan. Besides, Benidict Hoffman has not legally registered in Taiwan.
more
|
|
GBL Service
|
Financial Services and Markets Authority |
Belgium
|
20200114
14 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
websites www.cbaconseil-lu.com and www.cbaconseil.net
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Porter Todd Law
|
Financial Conduct Authority |
United Kingdom
|
20200113
13 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
https://cloudcoin.fund
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CLOUD COIN
|
|
https://mind.capital
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MIND.CAPITAL
|
|
www.automatedbinary.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
AUTOMATED BINARY
|
|
https://averren-energy.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
AVERREN ENERGY
|
|
https://www.binbotpro.com/sp
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BINBOTPRO
|
|
http://www.emdcapital.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.equityfx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PERIVEX PRIVATE EQUITY FX S.L.
more
|
|
https://fmtradex.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FMTRADEX
|
|
SALVAX LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.fxpace.com
more
|
|
www.inovestments.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
DOMUS PARTNERS AN ONLINE MEDIA SOLUTIONS COMPANY
more
|
|
https://intellinology.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
INTELLINOLOGY
|
|
https://itaurux.com/es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Equux Holding LLC
more
|
|
https://marretinvest.org/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MARRET MANAGEMENT LTD
|
|
https://omegapro.world
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
OMEGA PRO LTD
|
|
https://pcmtrades.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PCM TRADES
more
|
|
https://rofx.net
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ROFX
|
|
https://smartmoney-system.com/es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
SMART MONEY SYSTEM
|
|
https://vetoro.io/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
VETOROBANC
|
|
https://wisebanc.online/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WISEBANC ONLINE
more
|
|
https://24traderush.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200113
13 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
24TRADERUSH
more
|
|
Eagle Direct Investments (clone of EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200113
13 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Direct Fixed Income
|
Financial Conduct Authority |
United Kingdom
|
20200110
10 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Algobit Ltd trading as AstroFX
|
Financial Conduct Authority |
United Kingdom
|
20200110
10 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
CertFX
|
Financial Conduct Authority |
United Kingdom
|
20200110
10 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Coombes and Kiwonski Investments (trading name LLU Ltd)
|
Financial Conduct Authority |
United Kingdom
|
20200110
10 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Allianz Capital Ltd, WebNet Ltd, "Cleavesecurities", Game Capital Ads Limited, BC Profit2019, Terratech Ltd, Dubai FXM Ltd, “VirtualStocks”, “RoyalFunds”, Lctrade Ltd, Arrow Capital Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200110
10 Jan 2020
|
Miscellaneous |
CONSOB has ordered the black-out of 16 new websites that offer financial services illegally.
more
|
|
Rodeler Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200110
10 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
CONSOB has adopted a precautionary measure prohibiting the operation in Italy of the Cypriot firm Rodeler Limited which is linked to the following websites:
more
|
|
Itrade Clubs Corp
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20200110
10 Jan 2020
|
Miscellaneous |
CONSOB has banned the offering to the public of investments of a financial nature by Itrade Clubs Corp also through the website www.site.itradeclubs.com/it.
|
|
Guaranteed Fixed Bonds
|
Financial Conduct Authority |
United Kingdom
|
20200110
10 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
The Bond People
|
Financial Conduct Authority |
United Kingdom
|
20200110
10 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
The Sovereign Bond Fund (Clone of FCA recognised product)
|
Financial Conduct Authority |
United Kingdom
|
20200110
10 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Next Trade Ltd
|
Polish Financial Supervision Authority |
Poland
|
20200110
10 Jan 2020
|
Miscellaneous |
The Chairman of the KNF joined the proceedings initiated by another entity.
|
|
Netwide Invest SA
|
Polish Financial Supervision Authority |
Poland
|
20200110
10 Jan 2020
|
Miscellaneous |
No additional comments posted.
|
|
RDJR
|
Securities and Futures Commission |
Hong Kong
|
20200110
10 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Trade Ltd
|
Financial Conduct Authority |
United Kingdom
|
20200109
09 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Inovestments
|
Financial Conduct Authority |
United Kingdom
|
20200109
09 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
YORK CG
|
Financial Conduct Authority |
United Kingdom
|
20200109
09 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Lincoln FX (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200109
09 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Fixed Return Investments
|
Financial Conduct Authority |
United Kingdom
|
20200109
09 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Crypto Profit
|
Financial Market Authority |
Austria
|
20200109
09 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
ictrades
|
Financial Market Authority |
Austria
|
20200109
09 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
EXW GLOBAL AG
|
Financial Market Authority |
Austria
|
20200109
09 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Morgan Trust (GreenRiver OU)
|
Financial Market Authority |
Austria
|
20200109
09 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Cartwright & Brown Wealth Advisory
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200109
09 Jan 2020
|
Miscellaneous |
No additional comments posted.
|
|
Swiss Market Service
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200109
09 Jan 2020
|
Miscellaneous |
No additional comments posted.
|
|
Suisse Investment Group LLC AND BANKING SERVICES
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20200108
08 Jan 2020
|
Miscellaneous |
No additional comments posted.
|
|
Redhedge Investments (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200108
08 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
FXBAEBY
|
Financial Conduct Authority |
United Kingdom
|
20200108
08 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Jibi BANK Plc
|
Malta Financial Services Authority |
Malta
|
20200108
08 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MUTUAL REAL ESTATE FUND (renamed as 21 SOLSTICE)
|
Malta Financial Services Authority |
Malta
|
20200108
08 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
IIG Banks
|
Malta Financial Services Authority |
Malta
|
20200108
08 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Bitcoin Future
|
Malta Financial Services Authority |
Malta
|
20200108
08 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
GWM Group Holdings
|
Malta Financial Services Authority |
Malta
|
20200108
08 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Natixis Investment Managers/Natixis Investment Bank (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200108
08 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
SEMPI GOLD ESPAÑA, S.A.U
|
Comisión Nacional del Mercado de Valores |
Spain
|
20200107
07 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://metalesdeinversion.com
|
|
Direct Lenders List
|
Financial Conduct Authority |
United Kingdom
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Novum Bank (Clone of EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
Cloning details of EEA Authorised firm from FCA Register.
|
|
unauthorised websites offering investments in forex and crypto asset derivatives
|
Autorité des marchés financiers |
France
|
20200107
07 Jan 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF and ACPR are updating their list of unauthorised website offering investment in forex and derivatives based on crypto assets.
|
|
unauthorised websites offering atypical investments
|
Autorité des marchés financiers |
France
|
20200107
07 Jan 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF is updating its list of unauthorised websites offering atypical investments.
|
|
DCDM Strategies (Clone of Authorised Schedule 5 Firm)
|
Financial Conduct Authority |
United Kingdom
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Shinhan Bank London (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Secure UK Assets
|
Financial Conduct Authority |
United Kingdom
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Company Cubic Services Ltd trading as Global Markets
|
Financial Conduct Authority |
United Kingdom
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Omacl Loans Ltd (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
https://bw-holdings.com/, https://fac-limited.com, https://vip-deposit.com/ and www.karnz.com
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Fun Managers
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Cloud Technology & Investments Pty Ltd
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
DBS Securities Limited
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Glenn Hamilton & Partners LLC
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Cryptolimited.net
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
BitcoinMarketsCap
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
BZ Finance Invest
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Atlanta Mediation Group
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Trendingraphs (Premium Systems)
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Thompson Mergers
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Orion Holdings Capital Management and OH Capital
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Suisse Credit Capital Limited
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Sanderson International
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.harbour-corp.com
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
AG Markets
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Profitix, Enigma GRC Limited and True Capital Pro
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Crests Financial
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Green Knight Financial Services
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Alderbrook Capital Management
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Swift Wealth Recovery
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
McKenzie International Investments
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
GC Group Limited
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Miscellaneous |
The FMA is concerned GCG’s website contains misleading statements that have the potential to mislead investors on the extent to which GCG is a regulated or licensed entity in New Zealand and in overseas jurisdictions.
|
|
EvisionFX Group
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
alltrademarkets
|
Financial Markets Authority |
New Zealand
|
20200107
07 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
PANCHAIN SECURITIES LLC (PASSFOLIO)
|
Comissão de Valores Mobiliários |
Brazil
|
20200106
06 Jan 2020
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website:
more
|
|
Investment Bridge / Investment Chronicle
|
Financial Conduct Authority |
United Kingdom
|
20200106
06 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
SecuredInvestment.co.uk / Secured Investment
|
Financial Conduct Authority |
United Kingdom
|
20200106
06 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
BrexitBusting.com
|
Financial Conduct Authority |
United Kingdom
|
20200106
06 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fun Managers
|
Financial Conduct Authority |
United Kingdom
|
20200106
06 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Pro-Options
|
Financial Conduct Authority |
United Kingdom
|
20200106
06 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Heartland Investment Management Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20200103
03 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
CF Sum
|
Financial Conduct Authority |
United Kingdom
|
20200102
02 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Pro Capital Markets
|
Financial Conduct Authority |
United Kingdom
|
20200102
02 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Time4Actions / Times4Actions
|
Financial Conduct Authority |
United Kingdom
|
20200102
02 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Ellis and Burlington
|
Financial Conduct Authority |
United Kingdom
|
20200102
02 Jan 2020
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
瀚泰國際 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20200102
02 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Dawn Raid
|
Securities and Futures Commission |
Hong Kong
|
20200102
02 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
AMT Associates
|
Securities and Futures Commission |
Hong Kong
|
20200102
02 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Bentman Consulting
|
Securities and Futures Commission |
Hong Kong
|
20200102
02 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
領先資本 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20200102
02 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Sengela Trding Limited
|
Securities and Futures Commission |
Hong Kong
|
20200102
02 Jan 2020
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
DCDM Strategies Limited (Clone of Authorised Schedule 5 Firm)
|
Financial Conduct Authority |
United Kingdom
|
20191230
30 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Parker, Weismann & Associates LLC
|
Financial Conduct Authority |
United Kingdom
|
20191230
30 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities |
No additional comments posted.
|
|
Rockwell Investment Management
|
Financial Conduct Authority |
United Kingdom
|
20191230
30 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Total Financial Solutions
|
Financial Conduct Authority |
United Kingdom
|
20191227
27 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Ouroneclub
|
Financial Conduct Authority |
United Kingdom
|
20191227
27 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Star Finance
|
Financial Conduct Authority |
United Kingdom
|
20191227
27 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Investing Capital (a trading style of Dream Equity Ltd)
|
Financial Conduct Authority |
United Kingdom
|
20191227
27 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Omega FX
|
Financial Conduct Authority |
United Kingdom
|
20191227
27 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Debt Management Planning UK t/a Evolve loans
|
Financial Conduct Authority |
United Kingdom
|
20191227
27 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
T.U Markets Limited t/a Trading Underground
|
Financial Conduct Authority |
United Kingdom
|
20191227
27 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Wealth Capital / Wealth Capital FM (trading name of Astra Consulting)
|
Financial Conduct Authority |
United Kingdom
|
20191224
24 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
AG Private Wealth
|
Financial Conduct Authority |
United Kingdom
|
20191224
24 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
McKenzie International Investments
|
Securities and Futures Commission |
Hong Kong
|
20191224
24 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.xinhuafutureszg.hk
|
Securities and Futures Commission |
Hong Kong
|
20191224
24 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.xhzq.online
|
Securities and Futures Commission |
Hong Kong
|
20191224
24 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.dif-patrimoine.com (cloned firm)
|
Financial Services and Markets Authority |
Belgium
|
20191223
23 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning
|
|
Aragon Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20191223
23 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
www.act-financial-solutions.com (cloned firm)
|
Financial Services and Markets Authority |
Belgium
|
20191223
23 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning
|
|
New fraudulent online trading platforms
|
Financial Services and Markets Authority |
Belgium
|
20191223
23 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning on :
more
|
|
Gato Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20191223
23 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
OTIMIZE - Consultores Financeiros
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20191223
23 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Global Private Traders
|
Financial Conduct Authority |
United Kingdom
|
20191220
20 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Glenhaven Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20191220
20 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
www.iassetrich.com
|
Securities and Futures Commission |
Hong Kong
|
20191220
20 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Claims Advisory Group
|
Financial Conduct Authority |
United Kingdom
|
20191220
20 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Samuray Consulting AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191219
19 Dec 2019
|
Miscellaneous |
No additional comments posted.
|
|
Inversiones Fidelity
|
Central Bank of Ireland |
Ireland
|
20191219
19 Dec 2019
|
Miscellaneous |
Inversiones Fidelity is not authorized by the Central Bank to provide investment services. The firm purports to be based in Ireland.
|
|
Asset Recovery Group Inc
|
Central Bank of Ireland |
Ireland
|
20191219
19 Dec 2019
|
Miscellaneous |
Asset Recovery Group Inc is not authorized by the Central Bank to provide investment services. The firm purports to be based in Ireland.
|
|
The Argyle Group
|
Financial Conduct Authority |
United Kingdom
|
20191219
19 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
IBPC Corps / IBPC INFO
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191218
18 Dec 2019
|
Miscellaneous |
No additional comments posted.
|
|
International Business Permit Certificate (IBPC)
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191218
18 Dec 2019
|
Miscellaneous |
No additional comments posted.
|
|
Thompson–Russo Securities LLC / Thompson Russo Securities
|
Financial Conduct Authority |
United Kingdom
|
20191218
18 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Bond Compare
|
Financial Conduct Authority |
United Kingdom
|
20191218
18 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
OneStopBondShop
|
Financial Conduct Authority |
United Kingdom
|
20191218
18 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Uni Capital Group Ltd
|
Czech National Bank |
Czech Republic
|
20191218
18 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Czech National Bank wishes to warn the public about the activities of the company Uni Capital Group Ltd, registered in England and Wales under registration number 81984663, contact point South Point Business Center, Vyskočilova 1566, Michle, 140
more
|
|
Hong Kong Digital Assets Trading & Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20191218
18 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Lescovex Exchange SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191218
18 Dec 2019
|
Miscellaneous |
No additional comments posted.
|
|
Speedy Insurance (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191217
17 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Prêteur Garde
|
Financial Services and Markets Authority |
Belgium
|
20191217
17 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
MC-Express
|
Financial Services and Markets Authority |
Belgium
|
20191217
17 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Loan Express
|
Financial Services and Markets Authority |
Belgium
|
20191217
17 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Groupe 2CM Finance
|
Financial Services and Markets Authority |
Belgium
|
20191217
17 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Financiën Oplossingen
|
Financial Services and Markets Authority |
Belgium
|
20191217
17 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
FFRR Escrow Services / FFRR International Escrow Services
|
Financial Conduct Authority |
United Kingdom
|
20191217
17 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Orion Wealth Management (clone of EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191217
17 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Option Four Ltd trading as OptionFX (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191217
17 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Money ID Loans Ltd (Clone of Authorised Firm)
|
Financial Conduct Authority |
United Kingdom
|
20191217
17 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
BridgeBond Securities
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191217
17 Dec 2019
|
Miscellaneous |
No additional comments posted.
|
|
Ecoinsmining Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Notesco Limited dba IronFX
|
British Columbia Securities Commission |
British Columbia
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Sotfware and Media Ltd. dba BoxInvesting
|
British Columbia Securities Commission |
British Columbia
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Cryco.io
|
British Columbia Securities Commission |
British Columbia
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.npinvestgroup.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://www.centobot.com/sp
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CENTOBOT
|
|
https://cryptobase.ltd/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CRYPTOBASE
|
|
www.ecnswiss.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ECNSWISS
|
|
https://helixxmine.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HELIXX MINE
|
|
www.herva-international.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Herva International Group
more
|
|
www.horusinternational.net
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Horus International
more
|
|
www.ocfinancialcorp.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
OC Financial Corp
|
|
https://proufx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Prou FX
more
|
|
https://rmt500.com/es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
RMT500 Ltd
|
|
https://www.tradescrypto.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MK TRADE LTD
more
|
|
www.traynoradv.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Traynor Advisors
|
|
Investment Company Activity Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191216
16 Dec 2019
|
Miscellaneous |
No additional comments posted.
|
|
Main Invest
|
Financial Market Authority |
Austria
|
20191216
16 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Viva Payment Solutions GmbH
|
Financial Market Authority |
Austria
|
20191216
16 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Crypto Hedge Fundings
|
Financial Market Authority |
Austria
|
20191216
16 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
NEXO-GROUP
|
Financial Market Authority |
Austria
|
20191216
16 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Indigo Patrimoine (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191216
16 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Palm International
|
Securities and Futures Commission |
Hong Kong
|
20191216
16 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
T.U Markets Limited t/a Trading Underground
|
Financial Conduct Authority |
United Kingdom
|
20191213
13 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
No additional comments posted.
|
|
Investing Capital (a trading style of Dream Equity Ltd)
|
Financial Conduct Authority |
United Kingdom
|
20191213
13 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
No additional comments posted.
|
|
Emsworth Alternatives
|
Financial Conduct Authority |
United Kingdom
|
20191213
13 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
No additional comments posted.
|
|
Debt Management Planning UK t/a Evolve loans
|
Financial Conduct Authority |
United Kingdom
|
20191213
13 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
CFreserve (a trading style of Imperial App Limited)
|
Financial Conduct Authority |
United Kingdom
|
20191213
13 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
No additional comments posted.
|
|
Affinity Group Investing (a trading style of MSgroup Limited)
|
Financial Conduct Authority |
United Kingdom
|
20191213
13 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
No additional comments posted.
|
|
Rerotrader (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191213
13 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Crypt Mill Broker Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191213
13 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
ITRADER.COM
|
Comissão de Valores Mobiliários |
Brazil
|
20191213
13 Dec 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website
more
|
|
BAYLINE GLOBAL WORLD LTD
|
Comissão de Valores Mobiliários |
Brazil
|
20191213
13 Dec 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website
more
|
|
BAYLINE TRADING LTD
|
Comissão de Valores Mobiliários |
Brazil
|
20191213
13 Dec 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website
more
|
|
1 to 1 Trading
|
Financial Conduct Authority |
United Kingdom
|
20191213
13 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Easy Money Finance
|
Financial Conduct Authority |
United Kingdom
|
20191213
13 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Payback Limited
|
Financial Conduct Authority |
United Kingdom
|
20191213
13 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Swisskapitalinvest
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191213
13 Dec 2019
|
Miscellaneous |
No additional comments posted.
|
|
Absolute Global Markets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191213
13 Dec 2019
|
Miscellaneous |
No additional comments posted.
|
|
The Financial Consultancy Group (Scam)
|
Financial Conduct Authority |
United Kingdom
|
20191212
12 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Best Returns/ www.best-returns.com
|
Financial Conduct Authority |
United Kingdom
|
20191212
12 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Miyamoto, Asuka and Associates
|
Financial Conduct Authority |
United Kingdom
|
20191212
12 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Alan Davis Management (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191212
12 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
豐杰資本集團有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20191212
12 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MSIM Fund Management
|
Financial Conduct Authority |
United Kingdom
|
20191212
12 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Jonarnstein / Jonar Niels Stein
|
Securities and Futures Commission |
Hong Kong
|
20191212
12 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Athena Capital (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191211
11 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
All-Finanz-Regulierung GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191211
11 Dec 2019
|
Miscellaneous |
No additional comments posted.
|
|
Cash FX Group
|
Financial Conduct Authority |
United Kingdom
|
20191211
11 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Mayfair Associates Escrow
|
Financial Conduct Authority |
United Kingdom
|
20191211
11 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
http://bdvinvestfx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191210
10 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ZOLAREX LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191210
10 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTP://WWW.FINARIX.COM
|
|
BITCOIN ERA
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191210
10 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://BITCOINERA.COM/ES/
|
|
GLOBALIX LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191210
10 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.GLOBALIX.CO
|
|
JONGROCE LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191210
10 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTP://AGRICOLETRADE.COM
|
|
WIN BINARY OPTIONS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191210
10 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.WINBOPTIONS.COM
|
|
STORMGAIN LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191210
10 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://STORMGAIN.COM/ES
|
|
TORO TRADES LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191210
10 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.TOROTRADES.COM
|
|
TCO TRADES LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191210
10 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.TCOTRADE.COM
|
|
KOP WEALTH MANAGEMENT LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191210
10 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
KOP WEALTH MANAGEMENT
more
|
|
CRYPTOBULL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191210
10 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://CRYPTO-BULL.IO
|
|
LIBRA MAXIMIZER
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191210
10 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://LIBRA-MAXIMIZER.COM/ES
|
|
Advice Consult Inc
|
Financial Conduct Authority |
United Kingdom
|
20191210
10 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Red Maple Trading International
|
Ontario Securities Commission |
Ontario
|
20191209
09 Dec 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
Red Maple Trading International, offering investment services as found on its website at www.redmaplefx.com, is not registered in Ontario to engage in the business of trading in securities.
|
|
ClickPort International
|
Ontario Securities Commission |
Ontario
|
20191209
09 Dec 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
ClickPort International, offering investment services as found on its website at www.clickportint.com, is not registered in Ontario to engage in the business of trading in securities.
|
|
Blue Moon Loans
|
Financial Conduct Authority |
United Kingdom
|
20191209
09 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Pool Forex Investments
|
Financial Conduct Authority |
United Kingdom
|
20191209
09 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Arrows Financial Corporation
|
Financial Conduct Authority |
United Kingdom
|
20191209
09 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Firla Credit Bank
|
Financial Market Authority |
Austria
|
20191209
09 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
GrahamFE FinServices LTD
|
Financial Market Authority |
Austria
|
20191209
09 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
CTFY Trading LLC (“Cryptify Trading Bot”)
|
Financial Market Authority |
Austria
|
20191209
09 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
360SmartFX / Game Capital Ads Limited
|
Financial Market Authority |
Austria
|
20191209
09 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Global Options Trade
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191209
09 Dec 2019
|
Miscellaneous |
No additional comments posted.
|
|
Claim Yours Limited
|
Financial Conduct Authority |
United Kingdom
|
20191209
09 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
The Money Supermarket (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Step to Change \ Step Changing (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Piggy Money (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
PayPlan Advice (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Motive Loan (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Moneo Invest (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Loan Ski (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
J and E Davy/J&E Davy/Jane Davy (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Goodman Logisassure (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
DQN Capital (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Creditstar UK Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Barker and Company Financial Services (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Arab National Bank (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
UK Investments
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Tribely (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Tradewell / Bridgehold Ltd
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Trademaker (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
StockotradeFX \ Ultimatecryptofx \ Tradevibefx (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Affinity Group Investing (a trading style of MSgroup Limited)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
STI-Global
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Sergo Capital a trading style of Sergo Solutions Limited
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Report Accident Claim
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Prime Loan
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
BrookBond Limited trading as Whitehorse Capital
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Whitehorse Bonds trading as Prime Guard Limited
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Platinum CFD
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Windsor Manor
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Pension Cash Now
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
New Lease Car
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Nash Finance Services/ Nash Financial
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Millennium FX
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Keycroft Investments (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
JMS Invest
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Investteck
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
IAG
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Hh Trading Group
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
FXFinest
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
European Investment Trading
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Ellis Finance
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Country Group Ltd
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Compare ISA / Clicksco Digital Limited
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Stone Lion Financial Limited (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
CFD Premium
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Bestbonds-UK (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Bancorp Finance
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Amana Trade/ AmanaTrade (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
ajassetmanagement and banque2crypto (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
RMT500 / RTM500 (clone of FCA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
AL Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20191206
06 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Abraxas Global Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20191206
06 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.24dcep.top
|
Securities and Futures Commission |
Hong Kong
|
20191206
06 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
A L Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20191205
05 Dec 2019
|
Miscellaneous |
No additional comments posted.
|
|
Bond Stop
|
Financial Conduct Authority |
United Kingdom
|
20191205
05 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Bond Search
|
Financial Conduct Authority |
United Kingdom
|
20191205
05 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Asset Backed Investment
|
Financial Conduct Authority |
United Kingdom
|
20191205
05 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
AEC Investments/ AEC Investments Group
|
Financial Conduct Authority |
United Kingdom
|
20191205
05 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
www.sogevis.com
|
Autorité des marchés financiers |
France
|
20191204
04 Dec 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF has published a warning about the activities of the website www.sogevis.com, which falsely claims to have a crowdfunding adviser (CIP) licence.
|
|
Bond Compare
|
Financial Conduct Authority |
United Kingdom
|
20191204
04 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
OneStopBondShop/ One Stop Bond Shop
|
Financial Conduct Authority |
United Kingdom
|
20191204
04 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
website www.actio-prevoyance.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191204
04 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.cba-management.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191204
04 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.pms-capital.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191204
04 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.torello-capital.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191204
04 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Vanguard Wealth
|
Financial Conduct Authority |
United Kingdom
|
20191204
04 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Keytrade Bank (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191204
04 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Unique Global Investment (https://ugi.direct )
|
Financial Services and Markets Authority |
Belgium
|
20191204
04 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Structured Strategic Capital (SSC) (www.structuredstrategiccapital.com)
|
Financial Services and Markets Authority |
Belgium
|
20191204
04 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
SBAV Group (www.sbavgroup.com)
|
Financial Services and Markets Authority |
Belgium
|
20191204
04 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Oita Sumitomo Corporate (www.oscinternational.com)
|
Financial Services and Markets Authority |
Belgium
|
20191204
04 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Morgan Cowen Capital Markets (www.morgan-cowen.com)
|
Financial Services and Markets Authority |
Belgium
|
20191204
04 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Lextin Capital / Green Wire Capital (www.lextincapital.com /www.greenwirecapital.com)
|
Financial Services and Markets Authority |
Belgium
|
20191204
04 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Blue Hill Capitals
|
Financial Services and Markets Authority |
Belgium
|
20191204
04 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Cryptomusu / Agatha Limited
|
Finansinspektionen |
Sweden
|
20191204
04 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Qteck / QTP Solutions Ltd
|
Finansinspektionen |
Sweden
|
20191204
04 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Kapitałowy Fundusz Pożyczkowy sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20191204
04 Dec 2019
|
Miscellaneous |
The Chairman of the KNF joined the proceedings initiated by another entity.
|
|
Orion Consulting Ltd, CapitalTechFX, Game Capital Ads Limited, Maximus Global Markets Ltd, ActivBroker Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20191203
03 Dec 2019
|
Miscellaneous |
CONSOB has ordered the black-out of 6 websites that offer financial services illegally.
more
|
|
Standard Life (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191203
03 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
RMT500 (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191203
03 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
www.av-management.com
|
Securities and Futures Commission |
Hong Kong
|
20191203
03 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.huitianfuhk.com
|
Securities and Futures Commission |
Hong Kong
|
20191203
03 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Coinbull
|
British Columbia Securities Commission |
British Columbia
|
20191202
02 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
STANWICK WEALTH / STANWICK WEALTH ADVISORY
|
Financial Conduct Authority |
United Kingdom
|
20191202
02 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Prosperity lnvestment Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191202
02 Dec 2019
|
Miscellaneous |
No additional comments posted.
|
|
Shore Capital Markets / Shore Capital Markets UK
|
Financial Conduct Authority |
United Kingdom
|
20191202
02 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
www.igfinvestment.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191202
02 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
IGF INVESTMENT /
more
|
|
OLYMPIUS GLOBAL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191202
02 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://olympiusglobal.com
more
|
|
www.tradersway.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191202
02 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Traders Way / TW Corp
|
|
www.trymarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191202
02 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Try Markets / Capital Market Solutions LTD
|
|
https://es.weltrade.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191202
02 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Systemgates LTD / Weltrade
|
|
https://binarium.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191202
02 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BINARIUM LIMITED
|
|
www.finroyalty.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191202
02 Dec 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Pro Star Griffith Corporate Centre
|
|
XREuro (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191202
02 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone firm
|
|
Direct Lender Cash Panda / Cash Panda.co.uk Ltd (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191202
02 Dec 2019
|
Miscellaneous |
Clone firm
|
|
IWI International Wealth Insurer (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191202
02 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone firm
|
|
Agricultural Bank of China (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191202
02 Dec 2019
|
Miscellaneous |
Clone firm
|
|
Westwood Investment Funds (Clone of FCA recognised product)
|
Financial Conduct Authority |
United Kingdom
|
20191202
02 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone firm
|
|
Blue Palm Group Inc. – Distribution without Prospectus
|
Financial Market Authority |
Austria
|
20191202
02 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
MegatradeFX
|
Financial Market Authority |
Austria
|
20191202
02 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
CodexFX Ltd
|
Financial Market Authority |
Austria
|
20191202
02 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Findlay Nicolson
|
Financial Market Authority |
Austria
|
20191202
02 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Benidict Hoffman
|
Financial Market Authority |
Austria
|
20191202
02 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Your Claims Management
|
Financial Conduct Authority |
United Kingdom
|
20191202
02 Dec 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
QBANK INVESTIMENTOS S/A - Q INVESTIMENTOS
|
Comissão de Valores Mobiliários |
Brazil
|
20191129
29 Nov 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website page:https://www.qinvestimentos.com/landing
|
|
FIRST ALLIED ADVISORY SERVICES
|
Financial Conduct Authority |
United Kingdom
|
20191129
29 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Codrington UK (clone of appointed representative firm)
|
Financial Conduct Authority |
United Kingdom
|
20191129
29 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
eToro
|
Financial Supervisory Commission |
Chinese Taipei
|
20191129
29 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Financial Supervisory Commission(FSC), Chinese Taipei, warns against the activities of eToro, which claims that the world’s leading social trading platform.
more
|
|
Great Private Commercial Brokers
|
Polish Financial Supervision Authority |
Poland
|
20191128
28 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
Great Private Equity sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20191128
28 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
Green Wise Invest/ CompareISAUK
|
Financial Conduct Authority |
United Kingdom
|
20191128
28 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Green Energy Invest
|
Financial Conduct Authority |
United Kingdom
|
20191128
28 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Investor Shield
|
Financial Conduct Authority |
United Kingdom
|
20191128
28 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
P.H.U. „RachNet” Jerzy Pucek
|
Polish Financial Supervision Authority |
Poland
|
20191128
28 Nov 2019
|
Miscellaneous |
Notification under Article 178 in conjunction with Article 69(2) point 1 of the Act on trading in financial instruments. Notification made by the KNF.
|
|
www.zyqhbce.com
|
Securities and Futures Commission |
Hong Kong
|
20191128
28 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Airborn Investments
|
Financial Conduct Authority |
United Kingdom
|
20191127
27 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Redal Ltd, Elit Property Vision Ltd, Richmondfx Ltd, Globalfx Ltd, Rmt 500 Ltd, Premium Solutions Ltd, Aj Asset Management
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20191127
27 Nov 2019
|
Miscellaneous |
Consob has ordered the black-out of 5 websites that offer financial services illegally.
more
|
|
TRADELTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191125
25 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
tradeltd.com
more
|
|
MERIT FINANCIAL SERVICES LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191125
25 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MERIT FOREX
more
|
|
INEXX NETWORKING
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191125
25 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
INEXXSPAIN.COM
more
|
|
KRONOS INVEST LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191125
25 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
kronosinvest.co/
more
|
|
SIGNALATOR LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191125
25 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
signalsforex.com/es/
|
|
FORT FINANCIAL SERVICES LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191125
25 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
fortfs.com
|
|
UCI-LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191125
25 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
uci-limited.com
more
|
|
NEXT TRADE LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191125
25 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
aspenholding.co
|
|
Kristalyne Wealth Care
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191125
25 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.al-investements.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191125
25 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Best UK Bonds
|
Financial Conduct Authority |
United Kingdom
|
20191125
25 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Investment Chronicle
|
Financial Conduct Authority |
United Kingdom
|
20191125
25 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Fixed Income Bond
|
Financial Conduct Authority |
United Kingdom
|
20191125
25 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
www.zzzzhz.com
|
Securities and Futures Commission |
Hong Kong
|
20191125
25 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.asdzq.com
|
Securities and Futures Commission |
Hong Kong
|
20191125
25 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Skyo Microfinance Bank Limited
|
Dubai Financial Services Authority |
DIFC, Dubai
|
20191125
25 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
The Dubai Financial Services Authority (DFSA) alerts the financial services community and the public about a fraudulent scam promoted by "Skyo Microfinance Bank Limited" which offers easy loan approvals in return for a fee to be transferred to them.
|
|
Cartwright & Brown Wealth Advisory
|
Dubai Financial Services Authority |
DIFC, Dubai
|
20191125
25 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
The Dubai Financial Services Authority (DFSA) alerts the financial services community and members of the public to false claims made by Cartwright & Brown Wealth Advisory (Cartwright & Brown). The DFSA’s alert follows a warning issued by the UK Finan
more
|
|
MeleCoin
|
Dubai Financial Services Authority |
DIFC, Dubai
|
20191125
25 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
The Dubai Financial Services Authority (DFSA) alerts the financial services community and members of the public about MeleCoin, which falsely claims to be located in Dubai International Financial Centre.
|
|
FFA (UK) Limited
|
Dubai Financial Services Authority |
DIFC, Dubai
|
20191125
25 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
The Dubai Financial Services Authority (DFSA) alerts the financial services community and members of the public about a fraudulent website which misuses the logo of the DIFC and falsely claims that a company called “FFA (UK) Limited” is based in the
more
|
|
Pension Help Centre
|
Financial Conduct Authority |
United Kingdom
|
20191122
22 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Holakredit
|
Autorité des marchés financiers |
France
|
20191122
22 Nov 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF has issued a warning regarding a website, www.holakredit.com which falsely claims to be licenced as a crowdfunding advisor.
|
|
Altrice Investment Co. Limited
|
Securities and Futures Commission |
Hong Kong
|
20191122
22 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fu Tai Securities
|
Securities and Futures Commission |
Hong Kong
|
20191122
22 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.byqh.hk
|
Securities and Futures Commission |
Hong Kong
|
20191122
22 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Asia-Europe Wealth Link Commodity Exchange Center
|
Securities and Futures Commission |
Hong Kong
|
20191122
22 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Private Investment
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191122
22 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
Overstone Management (clone of FCA recognised product)
|
Financial Conduct Authority |
United Kingdom
|
20191121
21 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Castle Trust Private Bank (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191121
21 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
One Plus Finance (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191121
21 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Tamweel Capital Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191121
21 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Kredit Institut GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191121
21 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
Nelson Braithwaite Investments (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191120
20 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Clone of EEA authorised firm
|
|
Credit Suisse (UK) Limited (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191120
20 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Clone of FCA authorised firm
|
|
Credit Suisse Securities (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191120
20 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Clone of FCA authorised firm
|
|
JP Morgan Asset Management (clone of FCA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20191120
20 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Cloning details of FCA authorised firms
|
|
Aproch Bank (Clone of FCA firm)
|
Financial Conduct Authority |
United Kingdom
|
20191120
20 Nov 2019
|
Miscellaneous |
Cloning details of FCA firm
|
|
Societe Generale Asset Management (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191120
20 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Cloning details of firm from FCA Financial Services Register
|
|
Global Options Trade Inc.
|
Ontario Securities Commission |
Ontario
|
20191120
20 Nov 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
No additional comments posted.
|
|
Astrofx24
|
British Columbia Securities Commission |
British Columbia
|
20191120
20 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Blue Sail Trading
|
British Columbia Securities Commission |
British Columbia
|
20191120
20 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.rbctrade.io
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191118
18 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
Waltika Partners Ltd, CobraCFD Ltd, Alfa Financial, Zurich Corporation and lsystems Ltd, Energy Capital Group Eood, Crypto Consultancy Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20191118
18 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
CONSOB has ordered the black-out of 6 websites that offer financial services illegally.
more
|
|
Expedite Spzoo, websites www.manuelcooper.com and https://manuel.omegaita.it
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20191118
18 Nov 2019
|
Miscellaneous |
The Commissione Nazionale per le Società e la Borsa (CONSOB) has suspended for 90 days:
more
|
|
https://alycoin.net - https://alycoin.org
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191118
18 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MULLER ENTERPRISE LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191118
18 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.aurumprofin.cc
more
|
|
http://fxtvglobal.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191118
18 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
THE BILLIONS ENTERPRISE
|
|
HTTPS://TERRA-FINANCE.CC
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191118
18 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://TERRA-FINANCE.CO
more
|
|
Trusted Invest
|
Financial Market Authority |
Austria
|
20191118
18 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Apollos Capital
|
Financial Market Authority |
Austria
|
20191118
18 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
CobraCFD Ltd
|
Financial Market Authority |
Austria
|
20191118
18 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Wantage One AB
|
Financial Market Authority |
Austria
|
20191118
18 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Unauthorised websites offering shares in La Française des Jeux
|
Autorité des marchés financiers |
France
|
20191115
15 Nov 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF is warning against websites offering to sell shares in La Française des Jeux without being authorised to do so.
|
|
website www.ac-investissement.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191115
15 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Asset Capital Invest
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191115
15 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Schroders (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191114
14 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Clubb Capital Ltd (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191114
14 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Helvea-LTD.com
|
Financial Services and Markets Authority |
Belgium
|
20191114
14 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning
|
|
Trade Burke International Group
|
Financial Conduct Authority |
United Kingdom
|
20191113
13 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
HandelFX Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191113
13 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
Rootpay sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20191113
13 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
Irico SA
|
Financial Services and Markets Authority |
Belgium
|
20191113
13 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning
|
|
Ingensum sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20191113
13 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
Nevonet sp. z o.o. with its registered office in London
|
Polish Financial Supervision Authority |
Poland
|
20191113
13 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
Nevonet sp. z o.o. with its registered office in Gdynia
|
Polish Financial Supervision Authority |
Poland
|
20191113
13 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
Global InterGold
|
Financial Services and Markets Authority |
Belgium
|
20191112
12 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning
|
|
NOBEL 500
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191112
12 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
nobel500.com
|
|
ICE-FX MARKETS LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191112
12 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ice-fx.com
|
|
Lion Finance Ltd, Globalix Ltd, UAB Elnira, Grandtrade.exchange, BTB Corporate LT, Selinusinvestment.com
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20191112
12 Nov 2019
|
Miscellaneous |
Consob has ordered the black-out of 6 websites that offer financial services illegally.
more
|
|
website www.forbslab.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191111
11 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Inter Globe Investment Sàrl
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191111
11 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Akina SA
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191111
11 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Ascent Global Trading
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191111
11 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.e-fininvest.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191111
11 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Huttonfield Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20191108
08 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
First-Matching.com
|
Financial Services and Markets Authority |
Belgium
|
20191108
08 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning
|
|
JonGroce Limited
|
Polish Financial Supervision Authority |
Poland
|
20191108
08 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
Swiss Wealth Confidence
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191108
08 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
Zurichbanc (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191108
08 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Cloning details of FCA authorised firm
|
|
www.intermarketbank.com
|
Financial Market Authority |
Austria
|
20191108
08 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
https://ks-securities.com/
|
Financial Market Authority |
Austria
|
20191108
08 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
LV Grow Markets / Arrow Capital Ltd
|
Financial Market Authority |
Austria
|
20191108
08 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
CRYPTOTRUSTCONSULTING Ltd
|
Financial Market Authority |
Austria
|
20191108
08 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Mt4-Trades Tradings
|
Financial Market Authority |
Austria
|
20191108
08 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Yamanashi Kyoto Management
|
Financial Market Authority |
Austria
|
20191108
08 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
RWC Partners (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191107
07 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Irvine Investments (clone of appointed representative firm)
|
Financial Conduct Authority |
United Kingdom
|
20191107
07 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Follow Phil (trading style of FSN Strategic Thinking Ltd)
|
Financial Conduct Authority |
United Kingdom
|
20191107
07 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
TomCom Limited, Bonatech Ltd, Mitchell Group EOOD, Next Trade LTD, TLC Consulting Ltd, Trader Platinum, London Capital Trade Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20191106
06 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
CONSOB has ordered the black-out of 6 websites that offer financial services illegally.
more
|
|
Cabinet Kliennman Sarl (clone of EEA passported firm)
|
Financial Conduct Authority |
United Kingdom
|
20191106
06 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
Asset WW
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191105
05 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
GE Capital Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191105
05 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Cloning details of FCA authorised firm.
|
|
Julius Baer International Ltd (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191105
05 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Cloning details of FCA authorised firm
|
|
Alliance Capital (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191105
05 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Cloning details of FCA authorised firm.
|
|
Payment Solutions (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191105
05 Nov 2019
|
Miscellaneous |
Cloning details of FCA authorised firm
|
|
Finamore Capital S.A. (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191105
05 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Cloning details of EEA authorised firm.
|
|
Globalpa AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191105
05 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
ProCapitalMarkets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191104
04 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
Pearl Bridge Financial
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191104
04 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
website www.pf-gestion.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191104
04 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
HELVETIC PRIVATE CAPITAL GROUP AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191104
04 Nov 2019
|
Miscellaneous |
No additional comments posted.
|
|
www.autoinversor.com / www.autoinversorvip.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191104
04 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Trading Investors Limited
more
|
|
https://aurum-pro-finance.cc
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191104
04 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
AURUM PRO FINANCE
more
|
|
www.aafxtrading.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191104
04 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
AAFX TRADING COMPANY LTD
more
|
|
www.dax1001.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191104
04 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
One Thousand One Ltd
more
|
|
https://www.royalfinance24.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191104
04 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not related with the entity ROYAL FINANCIAL TRADING (CY) LTD (www.oneroyal.com/eu) which is operating in Spain as Investment Firm under the freedom to provide services with the number 4422.
|
|
CMP24
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191104
04 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
cmp24.com
more
|
|
www.fedilhk.com
|
Securities and Futures Commission |
Hong Kong
|
20191104
04 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.fuchangzq.com
|
Securities and Futures Commission |
Hong Kong
|
20191104
04 Nov 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Lonni Investment
|
Financial Markets Authority |
New Zealand
|
20191103
03 Nov 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Circle Markets Limited
|
Financial Markets Authority |
New Zealand
|
20191103
03 Nov 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Safumax Group Limited
|
Financial Markets Authority |
New Zealand
|
20191103
03 Nov 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Forexbrokerz
|
Financial Markets Authority |
New Zealand
|
20191103
03 Nov 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Tucker and Ross Advisors LLC / Tucker and Ross
|
Financial Conduct Authority |
United Kingdom
|
20191031
31 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
J McKenzie
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191031
31 Oct 2019
|
Miscellaneous |
No additional comments posted.
|
|
www.baumannpartners.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191030
30 Oct 2019
|
Miscellaneous |
No additional comments posted.
|
|
21stOptions
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191030
30 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Pro Star, Capital Com Investment Ltd, Capzone Invest Ltd, Game Capital Ads Limited, Pbox Ltd, Instafx24 Ltd, Silver Wolf Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20191029
29 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
CONSOB has ordered the black-out of 7 websites (listed above) that offer financial services illegally.
more
|
|
swissinvestmentfx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
WORLDFXM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
worldfxm.com/es/
more
|
|
STOCK TREND
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
stocktrend.net
|
|
EUROPEAN STOCKS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
europeanstocks.net
|
|
GLOBE STOCKS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
globestock.io
|
|
ATLAS STOCKS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
atlastocks.com
|
|
GLOBAL STOX
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
globalstox.net
|
|
LEX CAPITALS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
LEX CAPITAL LIMITED
more
|
|
INSTAFX24 LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
instafx24.com
|
|
NOVATRADES LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
novatrades.com
|
|
LIBRAMARKETS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
libramarkets.com
more
|
|
IMM FX
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
IMM GROUP LTD
more
|
|
FOREXROBOTPLUS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
forexrobotplus.com
|
|
TRADES FLY
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
tradesfly.com
more
|
|
DELTA FX MARKETS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
deltafxmarkets.com
more
|
|
BINARY ROBOT 365
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
binaryrobot365.com
|
|
BITCOIN TRADE ROBOT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
bitcointraderobot.com
|
|
CRYPTO ROBOT 365
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
cryptorobot365.com
|
|
CCFD BANK LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ccfdbank.com
|
|
CAPITAL4BANK
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191028
28 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CAPITAL COM INVESTMENT LTD
more
|
|
Pearl Bridge Investments
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191028
28 Oct 2019
|
Miscellaneous |
No additional comments posted.
|
|
Rakuten Global Ventures, Inc.
|
Financial Conduct Authority |
United Kingdom
|
20191028
28 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.alysa-group.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191025
25 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Ping An Associates
|
Securities and Futures Commission |
Hong Kong
|
20191025
25 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Trendingraphs (Premium Systems)
|
Financial Services and Markets Authority |
Belgium
|
20191024
24 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'Binary options'
|
|
Stock Global
|
Financial Services and Markets Authority |
Belgium
|
20191024
24 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'Binary options'
|
|
Marketcapital
|
Financial Services and Markets Authority |
Belgium
|
20191024
24 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'Binary options'
|
|
Capital Pilots
|
Financial Services and Markets Authority |
Belgium
|
20191024
24 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'Binary options'
|
|
INGFIN
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191024
24 Oct 2019
|
Miscellaneous |
No additional comments posted.
|
|
Union Investment Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191024
24 Oct 2019
|
Miscellaneous |
No additional comments posted.
|
|
Axe Invest
|
Ontario Securities Commission |
Ontario
|
20191023
23 Oct 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
Axe Invest, offering investment services on its website found at www.axeinvest.com, is not registered in Ontario to engage in the business of trading in securities.
|
|
Villetorte Asset Management (clone of EEA passported firm)
|
Financial Conduct Authority |
United Kingdom
|
20191023
23 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
website http://fundrockcrypto.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191023
23 Oct 2019
|
Miscellaneous |
No additional comments posted.
|
|
Pride Inwestycje Kapitałowe sp. z o.o. sp. k.
|
Polish Financial Supervision Authority |
Poland
|
20191022
22 Oct 2019
|
Miscellaneous |
Notification under Article 178 in conjunction with Article 69(2) point 6 of the Act on trading in financial instruments. Notification made by the KNF.
|
|
Dgtmarket Ltd
|
Polish Financial Supervision Authority |
Poland
|
20191022
22 Oct 2019
|
Miscellaneous |
Notification under Article 150(1) of the Act on payment services. Notification made by the KNF.
|
|
Digital Market sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20191022
22 Oct 2019
|
Miscellaneous |
Notification under Article 150(1) of the Act on payment services. Notification made by the KNF.
|
|
S & P Broker (SNP Broker)
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191022
22 Oct 2019
|
Miscellaneous |
No additional comments posted.
|
|
Red Bird, Mfi Broker, Software and Media, Salvalax, FxRoyal24
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20191022
22 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Consob has ordered the black-out of 5 websites that offer financial services illegally.
more
|
|
Signal Invention , Game Group, TradersHome, STSCrypto, Ibi Trader, Cri.pa.ma., Lonza Group
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20191022
22 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Consob has ordered the black-out of 4 websites that offer financial services illegally.
more
|
|
Militanis Capital sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20191022
22 Oct 2019
|
Miscellaneous |
Notification under Article 178 in conjunction with Article 69(2) point 6 of the Act on trading in financial instruments. Notification made by the KNF.
|
|
Invest Private Consulting Damian Pietrzak
|
Polish Financial Supervision Authority |
Poland
|
20191022
22 Oct 2019
|
Miscellaneous |
Notification under Article 178 in conjunction with Article 69(2) point 6 of the Act on trading in financial instruments. Notification made by the KNF.
|
|
Home &Business Financial Distributon Dariusz Cyganek
|
Polish Financial Supervision Authority |
Poland
|
20191022
22 Oct 2019
|
Miscellaneous |
Notification under Article 178 in conjunction with Article 69(2) point 6 of the Act on trading in financial instruments. Notification made by the KNF.
|
|
Ciuba & Partnerzy Kancelaria Finansowa sp. z o.o
|
Polish Financial Supervision Authority |
Poland
|
20191022
22 Oct 2019
|
Miscellaneous |
Notification under Article 178 in conjunction with Article 69(2) point 6 of the Act on trading in financial instruments. Notification made by the KNF.
|
|
Profit Doradcy Finansowi sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20191022
22 Oct 2019
|
Miscellaneous |
Notification under Article 178 in conjunction with Article 69(2) point 6 of the Act on trading in financial instruments. Notification made by the KNF.
|
|
ProCapitalMarkets Ltd
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20191022
22 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from ProCapitalMarkets. This company is a suspected boiler room. ProCapitalMarkets has approached persons without being asked, to offer them investmen
more
|
|
Light Media Ltd, trading under the name WinFinance
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20191022
22 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Light Media Ltd, trading under the name WinFinance (WinFinance). This company is a suspected boiler room. WinFinance has approached persons witho
more
|
|
Hikaro and Partners
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20191022
22 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Hikaro and Partners. This company is a suspected boiler room. Hikaro and Partners has approached persons without being asked, to offer them inves
more
|
|
AmBauer
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20191022
22 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from AmBauer. This company is a suspected boiler room. AmBauer has approached persons without being asked, to offer them investment proposals. A boile
more
|
|
Capital88 Ltd - BT Ventures Ltd
|
Superintendencia del Mercado de Valores |
Panama
|
20191022
22 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Company not licensed to operate in the Republic of Panama
more
|
|
XM GLOBAL LIMITED
|
Comissão de Valores Mobiliários |
Brazil
|
20191021
21 Oct 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website page: https://www.xm.com/
|
|
LBLV Ltd
|
Comissão de Valores Mobiliários |
Brazil
|
20191021
21 Oct 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website page: https://www.lblv.com.br
|
|
WORLD WAY CAPITAL LP
|
Comissão de Valores Mobiliários |
Brazil
|
20191021
21 Oct 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website page:
more
|
|
LITEFOREX INVESTMENTS LIMITED
|
Comissão de Valores Mobiliários |
Brazil
|
20191021
21 Oct 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website page: www.liteforex.br.com
|
|
F3 TECH LTDA
|
Comissão de Valores Mobiliários |
Brazil
|
20191021
21 Oct 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website page:
more
|
|
FX TRADING CORPORATION
|
Comissão de Valores Mobiliários |
Brazil
|
20191021
21 Oct 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website page: https://www.fxtradingcorp.com
|
|
CAPZONE INVEST LTD
|
Comissão de Valores Mobiliários |
Brazil
|
20191021
21 Oct 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website page: http://www.hqbroker.com/pt
|
|
Brown Fox Ltd
|
Financial Market Authority |
Austria
|
20191021
21 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Currency Mediation Company CMC GmbH
|
Financial Market Authority |
Austria
|
20191021
21 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Handelfx Ltd
|
Financial Market Authority |
Austria
|
20191021
21 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.swissepargne.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191021
21 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://capitalgbp.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191021
21 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GAME CAPITAL ADS LIMITED
more
|
|
https://primexclub.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191021
21 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ELIT PROPERTY VISION LTD
more
|
|
https://mcoinmarket.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191021
21 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MCoinMarket
more
|
|
Pello Capital (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191021
21 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
www.mmfinancialexperts.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191021
21 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ELIT PROPERTY VISION LTD
more
|
|
HYCM Option (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191021
21 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
OLYMPIA MARKETS / OLYMPIA FINANCE LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191021
21 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://OLYMPIAMARKETS.CO
more
|
|
HTTPS://TIFIA.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191021
21 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TIFIA MARKETS LTD
|
|
HTTPS://IMPERIAL-FINANCE.IO
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191021
21 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Waltika Partners Ltd
more
|
|
WWW.AINVESTMENTS.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191021
21 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ESOS International Ltd
more
|
|
Quilter Cheviot Investment Management (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191021
21 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Miscellaneous |
No additional comments posted.
|
|
日返佣網 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20191021
21 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.bgcsec.com
|
Securities and Futures Commission |
Hong Kong
|
20191021
21 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CodexFX (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191018
18 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm
|
|
SwissAZ (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191018
18 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm.
|
|
Direct Trading Technologie (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191018
18 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Cloning details of FCA authorised firm
|
|
Alpha Financial Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191017
17 Oct 2019
|
Miscellaneous |
No additional comments posted.
|
|
Cryptos888 (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191017
17 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Cloning details of FCA authorised firm
|
|
Broker Insurance Services Ltd (Clone of FCA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20191017
17 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Cloning details of FCA authorised firms.
|
|
Rothschild Financial (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191017
17 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The firm is in no way associated with Rothschild & Co Group of Companies.
|
|
4xRoyal24 / 4fxRoyal
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191017
17 Oct 2019
|
Miscellaneous |
No additional comments posted.
|
|
Lionel Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191016
16 Oct 2019
|
Miscellaneous |
No additional comments posted.
|
|
James & Mays PLLC
|
Financial Conduct Authority |
United Kingdom
|
20191015
15 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Goldex Management Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191014
14 Oct 2019
|
Miscellaneous |
No additional comments posted.
|
|
McBride Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20191014
14 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
https://es.weedmillionairepro.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191014
14 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://profitwizardpro.com/es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191014
14 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://prestige-life-club.com/es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191014
14 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://bitcoinmillionairepro.com/es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191014
14 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Wildex Investment Limited
|
Securities and Futures Commission |
Hong Kong
|
20191014
14 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.huatqh.com
|
Securities and Futures Commission |
Hong Kong
|
20191014
14 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.xdgjac.com
|
Securities and Futures Commission |
Hong Kong
|
20191014
14 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
GXCF
|
Securities and Futures Commission |
Hong Kong
|
20191014
14 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Gold Heritage
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20191011
11 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Bitcoin & Autotrader
|
Malta Financial Services Authority |
Malta
|
20191011
11 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.vgassetmanagementhk.com
|
Securities and Futures Commission |
Hong Kong
|
20191011
11 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Persons providing false FMA documentation in suspected scam
|
Financial Markets Authority |
New Zealand
|
20191011
11 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Forexbrokerz
|
Financial Markets Authority |
New Zealand
|
20191011
11 Oct 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
GL-FX
|
Financial Markets Authority |
New Zealand
|
20191011
11 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Circleforex and Yuanhui
|
Financial Markets Authority |
New Zealand
|
20191011
11 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
55CMT
|
Financial Markets Authority |
New Zealand
|
20191011
11 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
WFE Capital
|
Financial Markets Authority |
New Zealand
|
20191011
11 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Ashwood Holdings Limited
|
Financial Markets Authority |
New Zealand
|
20191011
11 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
TradeLTD
|
Financial Markets Authority |
New Zealand
|
20191011
11 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Christoph Feymann Capital
|
Financial Markets Authority |
New Zealand
|
20191011
11 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Ayomi
|
Financial Services and Markets Authority |
Belgium
|
20191010
10 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning
|
|
Hans Herbert Bock / HHB Wealth Management (clone of passported firm)
|
Financial Conduct Authority |
United Kingdom
|
20191010
10 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
boosst Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191010
10 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
FTCA (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191010
10 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Kuvera Global
|
Financial Services and Markets Authority |
Belgium
|
20191010
10 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning
|
|
index-capital.be
|
Financial Services and Markets Authority |
Belgium
|
20191010
10 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning
|
|
choices-invest.com
|
Financial Services and Markets Authority |
Belgium
|
20191010
10 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning
|
|
Forex and crypto asset derivatives
|
Autorité des marchés financiers |
France
|
20191009
09 Oct 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF and the ACPR have updated their black lists of websites and entities offering trading in forex and derivatives on crypto assets without being authorised to do so.
|
|
Bristol-Mayers Securities LLC
|
Financial Conduct Authority |
United Kingdom
|
20191009
09 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CRYPTOTRUSTCONSULTING LTD
|
Financial Market Authority |
Austria
|
20191009
09 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
OmegaFX Limited / Energy Capital Group EOOD
|
Financial Market Authority |
Austria
|
20191009
09 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
European Investment Systems SL
|
Financial Market Authority |
Austria
|
20191009
09 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Jordan Securities Commission
|
Jordan Securities Commission |
Jordan
|
20191009
09 Oct 2019
|
Miscellaneous |
Thanks
|
|
Jordan Securities Commission
|
Jordan Securities Commission |
Jordan
|
20191009
09 Oct 2019
|
Miscellaneous |
Thanks.
|
|
香港國際產權交易中心 (Chinese name only)
|
Financial Supervisory Commission |
Chinese Taipei
|
20191009
09 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Our records show that 香港國際產權交易中心 (Chinese name only) does not obtain license from the FSC and is not allowed to operate securities businesses and offer investment services in Taiwan. Besides, 香港國際產權交易中心 (Chinese name only) has not legally registered
more
|
|
Omegafx
|
British Columbia Securities Commission |
British Columbia
|
20191008
08 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
TMS Brokers Europe Limited
|
Malta Financial Services Authority |
Malta
|
20191008
08 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Burke Advisors Ltd
|
Financial Conduct Authority |
United Kingdom
|
20191008
08 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Pro Star, Bauman Ltd and Pacific Consulting Co Ltd, Silver Wolf Limited, Daisy Precious Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20191008
08 Oct 2019
|
Miscellaneous |
Consob has ordered the black-out of 4 websites that offer financial services illegally.
more
|
|
匯金國際金融有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20191008
08 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Cainsfield International Group
|
Financial Conduct Authority |
United Kingdom
|
20191007
07 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ePłatności sp. z o.o. sp. k.
|
Polish Financial Supervision Authority |
Poland
|
20191007
07 Oct 2019
|
Miscellaneous |
Notification under Article 150(1) of the Act on payment services (concerning the activities of a business owner operating as a payment service office; the partnership was on the Register of Payment Service Offices between 11 April 2018 and 10 July 20
more
|
|
RPDP Robert Paszkowski (rushpay.pl)
|
Polish Financial Supervision Authority |
Poland
|
20191007
07 Oct 2019
|
Miscellaneous |
Notification under Article 150(1) of the Act on payment services (concerning the activities of a business owner operating as a payment service office; the entity was on the Register of Payment Service Offices between 26 May 2017 and 5 August 2019). N
more
|
|
ABESIX
|
Financial Services and Markets Authority |
Belgium
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Cryptocurrency fraud'
|
|
Snel Krediet
|
Financial Services and Markets Authority |
Belgium
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Laporte Holding
|
Financial Services and Markets Authority |
Belgium
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Dell Loan Company
|
Financial Services and Markets Authority |
Belgium
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Tradershome
|
Financial Services and Markets Authority |
Belgium
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Binary Options'
|
|
Mason Ford
|
Financial Services and Markets Authority |
Belgium
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Binary Options'
|
|
Kodimax
|
Financial Services and Markets Authority |
Belgium
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Binary Options'
|
|
Key Markets
|
Financial Services and Markets Authority |
Belgium
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Binary Options'
|
|
Investteck
|
Financial Services and Markets Authority |
Belgium
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Binary Options'
|
|
Infinitrade
|
Financial Services and Markets Authority |
Belgium
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Binary Options'
|
|
Global Markets
|
Financial Services and Markets Authority |
Belgium
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Binary Options'
|
|
FlixGM
|
Financial Services and Markets Authority |
Belgium
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Binary Options'
|
|
Dream Equity Ltd
|
Financial Services and Markets Authority |
Belgium
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Binary Options'
|
|
https://tradeprincipal.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://tradeprincipal.com
more
|
|
www.2mercados.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.2mercados.com
more
|
|
https://spainoption.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20191007
07 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://spainoption.com
more
|
|
Unauthorised offers of trading in binary options and atypical investments
|
Autorité des marchés financiers |
France
|
20191004
04 Oct 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF has issued an update to its list of entities and websites offering trading in binary options or atypical investments without being authorised to do so.
|
|
Ashwood Holdings Limited
|
Securities and Futures Commission |
Hong Kong
|
20191004
04 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
TaureneFX
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20191003
03 Oct 2019
|
Miscellaneous |
No additional comments posted.
|
|
Financial Direct Limited
|
Financial Conduct Authority |
United Kingdom
|
20191002
02 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
RCH Securities LLC
|
Financial Conduct Authority |
United Kingdom
|
20191002
02 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FINRA registered firm.
|
|
Itrade Clubs Corp
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20191002
02 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CONSOB has suspended for a period of 90 working days within the meaning of Article 99 of the Italian Legislative Decree n.58/1998, the public offer of investment packages carried out by Itrade Clubs Corp through the website www.site.itradeclubs.com/i
more
|
|
5 websites offering financial services without authorisation
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20191002
02 Oct 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
CONSOB has availed itself of the new powers resulting from the "Growth Decree" (Law n. 58 of June 28, 2019, Article 36, paragraph 2-terdecies), ordering internet providers to inhibit access from Italy to 5 new websites offering financial services wit
more
|
|
Equidex Finance
|
Financial Conduct Authority |
United Kingdom
|
20191002
02 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Clone
|
|
Preston Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20191002
02 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
OSC
|
Ontario Securities Commission |
Ontario
|
20191001
01 Oct 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
Hempearth Group Ltd., also doing business as www.hempearthcoin.com, is not registered in Ontario to engage in the business of trading in securities.
|
|
ATLAS Infrastructure Partners (UK) (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20191001
01 Oct 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
HTTPS://PROMETHEUSAM.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190930
30 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Prometheus Asset Management
|
|
WWW.JCTRADING.INFO
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190930
30 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
JC Trading
|
|
WWW.JCINVESTING.NET
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190930
30 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
JC Investing LTD
|
|
HTTPS://GSTREL.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190930
30 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GstRel
|
|
BTCPROFIT.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190930
30 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ES.BITCOINS-PROFIT.COM
more
|
|
HTTPS://BITCOINFUTURE.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190930
30 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BTC Future
|
|
HTTPS://ZENITHFXTRADE.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190930
30 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ZENITH FX TRADE
|
|
https://globalfxfinance.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190930
30 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Global Fx Finance
|
|
HTTPS://GELIOS.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190930
30 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Gelios Trade LTD
|
|
https://bqsmart.co.nz/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190930
30 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BQSmart
more
|
|
BEXPLUS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190930
30 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BEXPLUS.COM
|
|
TOKENBITINVERSIONES.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190930
30 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TOKEN BIT INVERSIONES
|
|
HH Trading Group
|
Financial Conduct Authority |
United Kingdom
|
20190930
30 Sep 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
EpicXOption (clone of an FCA Appointed Representative)
|
Financial Conduct Authority |
United Kingdom
|
20190930
30 Sep 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
Clone of an FCA appointed representative
|
|
Oasis Trust Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190930
30 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Tradex
|
Securities and Futures Commission |
Hong Kong
|
20190930
30 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
BNP Paribas (Clone of FCA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190927
27 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of authorised FCA firm
|
|
www.lai-patrimoine.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190927
27 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Prestige FM Financial Markets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190927
27 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
N M Rothschild & Sons (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190927
27 Sep 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Clone of an FCA authorised firm
|
|
LEDCapital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190927
27 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
www.aquilaunder.com
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190927
27 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
TFXGO.COM
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190927
27 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Spiral Global Trade Solutions AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190927
27 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
SBLOCK AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190927
27 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Cryptos Planet
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190927
27 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Weizhen Tang
|
Autorité des marchés financiers |
Quebec
|
20190926
26 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Asset Recovery Group
|
Financial Conduct Authority |
United Kingdom
|
20190926
26 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
25 websites that offer financial services illegally
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190926
26 Sep 2019
|
Miscellaneous |
CONSOB has ordered the black-out of 25 websites that offer financial services illegally. The commission availed itself of the new powers resulting from the ‘Decreto Crescita’ (‘Growth Decree’; Law no. 58 of June 28, 2019, article 36), on the basis of
more
|
|
Game Capital Ads Limited, Notesco Limited, Finaxis, CCFDBank Ltd, ActivBroker Ltd, Tradervisual, Fina Holding Limited, Swiss Investment Corporation Ltd, CobraCFD Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190926
26 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CONSOB has ordered companies listed above to cease infringement of art. 18 of the Italian Legislative Decree no. 58/1998 consisting of the provision of unauthorised investment services to the Italian public.
|
|
Bruckner Ferdinand
|
Financial Conduct Authority |
United Kingdom
|
20190925
25 Sep 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Alert originally published on 28/03/2019. Alert updated on 10/04/2019. Alert posted on IOSCO portal on 25/09/2019.
|
|
Midpoint Exchange (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190925
25 Sep 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Regarding markets, exchanges, and clearing and settlement entities
Miscellaneous |
No additional comments posted.
|
|
Magna Umbrella Fund PLC (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190925
25 Sep 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Perterra Funds PC (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190925
25 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Alliance for Global Strategic Affairs
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190925
25 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Boll Financial Holding Limited/ Boll Financial Management Co., Ltd
|
Securities and Futures Commission |
Hong Kong
|
20190925
25 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Limatron Management AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190925
25 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Worcester International
|
Securities and Futures Commission |
Hong Kong
|
20190925
25 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
亞斯科國際 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20190925
25 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
División Forex, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190924
24 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Best Bonds & Savings
|
Financial Conduct Authority |
United Kingdom
|
20190923
23 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
DACHFIN
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190923
23 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Capital Trade Fair
|
Financial Conduct Authority |
United Kingdom
|
20190923
23 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Clone entity
|
|
Stretchy Finance UK Ltd / Stretchy Loans UK Ltd (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190920
20 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Williams Carter & Associates LLC
|
Financial Conduct Authority |
United Kingdom
|
20190920
20 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Blue Hill Mining
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190920
20 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
StainWayFinancials
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190920
20 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Griffin Financial Solutions
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190920
20 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Warsaw Asset House sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190920
20 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Cavendish Knight Asset Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190920
20 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Jax Pay sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190920
20 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Fxtradingmarket
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190919
19 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Swiss Financial Service and Security European Regulator (SFSSER)
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190919
19 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
bit-bay EUROPE S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190918
18 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Delmer Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20190917
17 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.ucxd.cn
|
Securities and Futures Commission |
Hong Kong
|
20190917
17 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.zhongyin-intl.com
|
Securities and Futures Commission |
Hong Kong
|
20190917
17 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.zygjqh-hk.com
|
Securities and Futures Commission |
Hong Kong
|
20190917
17 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.yifengco.com
|
Securities and Futures Commission |
Hong Kong
|
20190917
17 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.tqqjgyey.com
|
Securities and Futures Commission |
Hong Kong
|
20190917
17 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.visdominvestmentmanagement.com
|
Securities and Futures Commission |
Hong Kong
|
20190917
17 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.traderplatinum.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190916
16 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
TRADER PLATINUM
|
|
www.novifx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190916
16 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
NOVI FX
more
|
|
www.integrammg.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190916
16 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.eimmg.com
more
|
|
http://www.zuitex.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190916
16 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.smart-values.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190916
16 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
SMART VALUES COMPANY
|
|
www.qsj62.com
|
Securities and Futures Commission |
Hong Kong
|
20190913
13 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
selinuscapitalinvestment.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190912
12 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not related with the entities SELINUS CAPITAL ADVISORS GMBH and SELINUS CAPITAL GMBH (WWW.SELINUS-CAPITAL.COM) which is operating in Spain as Investment Firms under the freedom to provide services with the number 4692 and 4693.
more
|
|
Baxter-Ford & Associates LLC
|
Financial Conduct Authority |
United Kingdom
|
20190911
11 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.fsclux.lu
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190910
10 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Finamore Capital S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190910
10 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Finance Swiss Ltd
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190910
10 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
SFSSER
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190910
10 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
TorOption (Smart Choice Zone LP)
|
Financial Market Authority |
Austria
|
20190910
10 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
DAX-300 (ELRICS Brothers Ltd.)
|
Financial Market Authority |
Austria
|
20190910
10 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Worldwide Financing Group
|
Financial Market Authority |
Austria
|
20190910
10 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Prime Risk Solutions
|
Financial Market Authority |
Austria
|
20190910
10 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Banqoin / Infocom Media Ltd
|
Financial Market Authority |
Austria
|
20190910
10 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
MarketsSoft / Horizon Ventures Ltd
|
Financial Market Authority |
Austria
|
20190910
10 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.jfglobaladvisors.com
|
Financial Market Authority |
Austria
|
20190910
10 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Hong Kong Tianying Chuangrong Fund Management Co., Ltd / Hong Kong Tianying Chuangrong Fund Asset Management Co., Ltd
|
Securities and Futures Commission |
Hong Kong
|
20190910
10 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Tradewell / Bridgehold Ltd
|
Financial Conduct Authority |
United Kingdom
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Compare ISA / Clicksco Digital Limited
|
Financial Conduct Authority |
United Kingdom
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Hh Trading Group
|
Financial Conduct Authority |
United Kingdom
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Investment Recovery Services Ltd (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fast Camel Car Insurance
|
Financial Conduct Authority |
United Kingdom
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Sector Capital Funds Plc (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Close Brothers Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Cabinet Marielle Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Forexbit
|
Financial Conduct Authority |
United Kingdom
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ASC UK (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Assicuro Asset Management (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Diamond Capital Funds (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Citi Finances
|
Financial Conduct Authority |
United Kingdom
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
TRU Investment
|
Malta Financial Services Authority |
Malta
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Coinbrokerz
|
Financial Markets Authority |
New Zealand
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Yifu International Futures Co Ltd
|
Financial Markets Authority |
New Zealand
|
20190909
09 Sep 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
www.rncapitalalliance.com
|
Financial Markets Authority |
New Zealand
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Profitix and Enigma GRC Limited
|
Financial Markets Authority |
New Zealand
|
20190909
09 Sep 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Dang Kang International Group
|
Financial Markets Authority |
New Zealand
|
20190909
09 Sep 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Trinity Investments Limited
|
Financial Markets Authority |
New Zealand
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
JJ Lloyd and www.jjlloyd.com
|
Financial Markets Authority |
New Zealand
|
20190909
09 Sep 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
www.coinfamily.co.nz; www.coinfamilyrecruit.co.nz; www.hrcoinfamily.co.nz; www.coinfamilyjobs.co.nz
|
Financial Markets Authority |
New Zealand
|
20190909
09 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.yingtouqihuo.com
|
Securities and Futures Commission |
Hong Kong
|
20190906
06 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.haitongguoji.com
|
Securities and Futures Commission |
Hong Kong
|
20190906
06 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Boiler room schemes
|
Autorité des marchés financiers |
France
|
20190906
06 Sep 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF has warned the public about an agressive marketing technique called "boiler room".
|
|
Ltrader International Limited / Ltrader Global Limited / Ltrader International (Hong Kong) Limited
|
Securities and Futures Commission |
Hong Kong
|
20190906
06 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
http://qhxd.hk
|
Securities and Futures Commission |
Hong Kong
|
20190905
05 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.phntu.com
|
Securities and Futures Commission |
Hong Kong
|
20190905
05 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
FX Pro Europe clone of FCA authorised firm
|
Financial Conduct Authority |
United Kingdom
|
20190904
04 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
XLarge Assets Financial AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190904
04 Sep 2019
|
Miscellaneous |
No additional comments posted.
|
|
Polski Dom Finansowy Piotr Pyczak
|
Polish Financial Supervision Authority |
Poland
|
20190904
04 Sep 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
Notification under Article 178 of the Act on trading in financial instruments was submitted as regards the business conducted by Polska Grupa Inwestycyjna with its registered office in Poznań (pginwest.pl).
more
|
|
ProActive Trade
|
British Columbia Securities Commission |
British Columbia
|
20190904
04 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Finaxis
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190902
02 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Signal Invention s.r.o.
|
Czech National Bank |
Czech Republic
|
20190902
02 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Czech National Bank wishes to warn the public about the activities of Signal Invention s.r.o., company ID number 08056871, offering investment services via Internet presentation https://financial-signal.com/. This company has currently no authori
more
|
|
Bitcoin Revolution
|
Malta Financial Services Authority |
Malta
|
20190902
02 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.casdaqtrading.com
|
Securities and Futures Commission |
Hong Kong
|
20190902
02 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
DSFFX
|
Securities and Futures Commission |
Hong Kong
|
20190902
02 Sep 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Assistenza Finanzjarja
|
Malta Financial Services Authority |
Malta
|
20190902
02 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Finamix Finaces
|
Malta Financial Services Authority |
Malta
|
20190902
02 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Emirate Coin Tech
|
Malta Financial Services Authority |
Malta
|
20190902
02 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
St Publius Malta Limited
|
Malta Financial Services Authority |
Malta
|
20190902
02 Sep 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
PierreCapitale
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190829
29 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Zuercher Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190829
29 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Fx Zurich
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190829
29 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Berlingier Private Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190828
28 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
RNP Banking
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190828
28 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Goldberg and Schwarz
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190828
28 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
SwissCapital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190828
28 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Trader Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190828
28 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Leonard Curtis Business Rescue & Recovery (Clone of professionally exempt firm)
|
Financial Conduct Authority |
United Kingdom
|
20190827
27 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Mondrian Investment Partners Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190827
27 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Ontario Securities Commission
|
Ontario Securities Commission |
Ontario
|
20190826
26 Aug 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Miscellaneous |
Advertising, offering, selling or otherwise trading binary options by any entity, is prohibited in Ontario as specified in CSA Multilateral Instrument 91-102, Prohibition of Binary Options which was implemented on September 28, 2017.
|
|
https://247coinoptions.com / https://247coinoption.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
247CoinOptions LLC
|
|
http://bealgo.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
GAME CAPITAL ADS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://es.btcglobefx.com/
more
|
|
GAME CAPITAL ADS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://es.capitalbtcfx.com/
more
|
|
www.2dots.com / Webnet Ltd
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
PRO CAPITAL LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://capitalfxclub.com
more
|
|
GAME CAPITAL ADS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://es.cryptoclubfx.com/
more
|
|
EUROPEAN INVESTMENT SYSTEMS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.eu-is.com
|
|
www.exilonmarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
EXILON MARKETS LTD
|
|
GAME CAPITAL ADS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://es.firstfxclub.com/
more
|
|
GAME CAPITAL ADS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://es.gamebtcfx.com/
more
|
|
https://generaltrade.cc
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GENERAL TRADE
|
|
https://pocketoption.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Gembell Ltd
more
|
|
GAME CAPITAL ADS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://es.procapitalfx.com/
more
|
|
www.xsinergia.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
SINERGIA DE ACTIVOS Y SOCIOS SL
|
|
www.zantarinvestment.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ZANTAR INVESTMENTS
|
|
MERIDIAN INTERSTATE EUROPE SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190826
26 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.mib-europe.com
|
|
Cavendish Knight Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20190823
23 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
恆潤財富有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20190823
23 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
CCXMarkets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190822
22 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
SEK Capital SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190822
22 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Ciex.io
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190822
22 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Crown Holdings Group
|
Securities and Futures Commission |
Hong Kong
|
20190822
22 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Brown and Bullock Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20190822
22 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Highsmith Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20190821
21 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Claimsmart
|
Financial Conduct Authority |
United Kingdom
|
20190821
21 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Clone of FCA authorised firm
|
|
Deutsch Invest Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190821
21 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
UKFinvest / UKFinancial Investments / ALDIMA LTD
|
Financial Market Authority |
Austria
|
20190821
21 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Zuitex
|
Financial Market Authority |
Austria
|
20190821
21 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
OMC Markets (Personal Found Ltd)
|
Financial Market Authority |
Austria
|
20190821
21 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Baerenberg Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190820
20 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
http://yikwahhk.com / www.yikwah.com.hk / www.yikwah.hk
|
Securities and Futures Commission |
Hong Kong
|
20190820
20 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
TrustFX
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190819
19 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Funkenberg Investments
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190819
19 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Rosewell Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20190819
19 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
North Credit Trust
|
Jersey Financial Services Commission |
Jersey
|
20190819
19 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.smithandwilliamsonline.com
|
Jersey Financial Services Commission |
Jersey
|
20190819
19 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Gerhard Moser Investment Capital Holdings (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190819
19 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
Clone of EEA Authorised firm.
|
|
SIS – Safe Invest Services
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190816
16 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Global Market Trend
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190816
16 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Shengshuziben
|
Securities and Futures Commission |
Hong Kong
|
20190816
16 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.boweiworld.com
|
Securities and Futures Commission |
Hong Kong
|
20190815
15 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Smart Loans
|
Financial Conduct Authority |
United Kingdom
|
20190815
15 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
www.zyzq.hk
|
Securities and Futures Commission |
Hong Kong
|
20190815
15 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.ktg.hk
|
Securities and Futures Commission |
Hong Kong
|
20190815
15 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Apollo Swiss AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190815
15 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
www.honsuqh.com
|
Securities and Futures Commission |
Hong Kong
|
20190815
15 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
“BAUTISTA, DE LA CRUZ AND PARTNERS” y/o “BAUTISTA, DE LA CRUZ Y SOCIOS”
|
Comisión Nacional de Valores |
Argentina
|
20190814
14 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Chris Gardner Group
|
Danish Financial Supervisory Authority |
Denmark
|
20190814
14 Aug 2019
|
Miscellaneous |
The Danish Financial Supervisory Authority (FSA) warns the public against the activities of Chris Gardner Group, a company that claims to have main offices at Raadbuspladsen 16, 1550 Copenhagen, Denmark, and at 17 State Street, Suite 4000, New York.
|
|
Cryptominingoptionsignal
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190813
13 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Seashell International
|
Securities and Futures Commission |
Hong Kong
|
20190813
13 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.admcmb.biz
|
Securities and Futures Commission |
Hong Kong
|
20190812
12 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Liracoin - DAMO, Forgues Gestion Sas, Tessline Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190809
09 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CONSOB has prohibited, pursuant to Article 99 of the Italian Legislative Decree n. 58/1998, the offer to the Italian public of:
more
|
|
Brown Fox Limited, Level Up Capital Ltd, 4x Royal Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190809
09 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CONSOB has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree no. 58/1998 consisting of the provision of unauthorised investment services to the Italian public:
more
|
|
www.shzc188.com
|
Securities and Futures Commission |
Hong Kong
|
20190809
09 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Citadel Consultancy Management Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190808
08 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Key Markets Ltd
|
Financial Market Authority |
Austria
|
20190808
08 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Fxtradex
|
British Columbia Securities Commission |
British Columbia
|
20190807
07 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
International Derivatives Group
|
British Columbia Securities Commission |
British Columbia
|
20190807
07 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Profit Trading Ltd (clone of UK registered company)
|
Financial Conduct Authority |
United Kingdom
|
20190806
06 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Smith & Williams PLC trading as Smith and Williams Online (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190806
06 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
Thomas and Ward Advisors LLC
|
Financial Conduct Authority |
United Kingdom
|
20190806
06 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
NaviCom International Investment
|
Securities and Futures Commission |
Hong Kong
|
20190806
06 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.jlfgp.com
|
Securities and Futures Commission |
Hong Kong
|
20190806
06 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.bester.cc
|
Securities and Futures Commission |
Hong Kong
|
20190806
06 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
LIB Group Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20190805
05 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
https://investingfm.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190805
05 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Investing FM Ltd
|
|
https://fgmarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190805
05 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FIVECIRCLES LIMITED
more
|
|
https://wisebanc.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190805
05 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WISE BANC
more
|
|
BC Profit (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Cheap Insurance Broker
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
B1 Insurance
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Mariusz Juszcayk
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Wise Capital UK (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Dang Kang International Group Limited (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Hartmead Finance Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fidelity International (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Globality Wealth (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Ralf Werner Tait Capital (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Weila Capital Limited (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
TBFX Limited (clone of authorised firm XTB Limited)
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)
Miscellaneous |
No additional comments posted.
|
|
DQN Capital (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Tribely (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190802
02 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Swiss Global Investments Sàrl
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190802
02 Aug 2019
|
Miscellaneous |
No additional comments posted.
|
|
Willow Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20190802
02 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Atlantic Equities LLP (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190801
01 Aug 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Hill Law Associates
|
Central Bank of Ireland |
Ireland
|
20190801
01 Aug 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Hill Law Associates is not authorized by the Central Bank to provide investment services. The firm purports to be based in the USA.
|
|
Interbankbrokers
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
CoinFinex
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
eCharge.io AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
TRADEXFUNDS
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Swiss AG / R.O.X.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Zuitex
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Affinity Group Investing Ltd
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Licreston Asset Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
ITT Services AG in Liquidation
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
UBS Investment Consulting, UBS Financial Services Group, UBS Investment AG [kein Bezug zu von der FINMA bewilligten Instituten]
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
UBS FInance, UBS Investment AG, UBS Investment Group (kein Bezug zu von der FINMA bewilligten Instituten)
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Bergmann Finance
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Swiss Bank Global Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Stanford Capital Markets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Neofinanzen
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Proud Market
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Swiss Capital Plus Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Axens
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Swaye Capital Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
WealthCapital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Willowdale Trading
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
AXE Crypto Currency
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
FXnow
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Goldberg and Schwarz
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Crypto de Suisse
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
LAPO BC AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Coin Chambers
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Global Trade Solutions AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Koya Trading Europe
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Privat Suisse
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Antaros AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
IFS International Financial Services
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Swiss Banking Control
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Dave's Consulting House GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
JT Capital Markets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Novomountain Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Swissinv24
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
AWE SWISS FX
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
69brokers
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
BlackNumbers
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Ebosia
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Andrioncapital Asset Management SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Companie general cryptobanco GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Axeinvest
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190731
31 Jul 2019
|
Miscellaneous |
No additional comments posted.
|
|
Midway Management
|
Securities and Futures Commission |
Hong Kong
|
20190731
31 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
http://mz.futuresvip.cn
|
Securities and Futures Commission |
Hong Kong
|
20190731
31 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
http://hkac1545.isitacenter.com
|
Securities and Futures Commission |
Hong Kong
|
20190731
31 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Continental Futures
|
Securities and Futures Commission |
Hong Kong
|
20190731
31 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
First Chartered Investments
|
Financial Conduct Authority |
United Kingdom
|
20190730
30 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Trading Investments Group
|
Financial Conduct Authority |
United Kingdom
|
20190730
30 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
British Capital Investments
|
Financial Conduct Authority |
United Kingdom
|
20190730
30 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
香港鑫瑞期貨資產管理有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20190730
30 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
UAB Elorona, UAB Rolneta, Sigma4Trade, Zurix Corporation, Brown Fox Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190730
30 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Consob has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree no. 58/1998:
more
|
|
Genese Am Ltd, website www.carsana-management.com, City Group Italy banking group, websites https://doubleupgtl.eu and www.dupmania.com, B C U Trading LLC , websites https://mybet21.it and www.lonzainvestments.com
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190730
30 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Consob has ordered the company Genese Am Ltd to cease infringement of article 18 of the Italian Legislative Decree N. 58/1998 put in place via the website www.genese-am.com.
more
|
|
1. www.0553cj.com 2. www.ditljf.cn
|
Securities and Futures Commission |
Hong Kong
|
20190730
30 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Dunn & Miller Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20190729
29 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Partners Finances (Cloned firms)
|
Financial Services and Markets Authority |
Belgium
|
20190729
29 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
more
|
|
Mutuals Kredit / Krediet Religieus
|
Financial Services and Markets Authority |
Belgium
|
20190729
29 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Helix credit group
|
Financial Services and Markets Authority |
Belgium
|
20190729
29 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Furst Kredit
|
Financial Services and Markets Authority |
Belgium
|
20190729
29 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
Asterix Bank
|
Financial Services and Markets Authority |
Belgium
|
20190729
29 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Fraudulent credit offers'
|
|
www.pvpmarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190729
29 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PVP MARKETS LTD
|
|
www.justforex.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190729
29 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
JF GLOBAL LIMITED
more
|
|
www.glob-markets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190729
29 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CUBIC SERVICES LTD
more
|
|
www.cctmarket.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190729
29 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CCT Market
more
|
|
SeaGold Invest, Pallet Coins and Pallets Invest
|
Financial Markets Authority |
New Zealand
|
20190728
28 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Girard Montague
|
Financial Markets Authority |
New Zealand
|
20190728
28 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.olympusmarkets.com and Next Trade Limited
|
Financial Markets Authority |
New Zealand
|
20190728
28 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.fuerfx.com
|
Financial Markets Authority |
New Zealand
|
20190728
28 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Gold Effortlessly Global Development Ltd
|
Securities and Futures Commission |
Hong Kong
|
20190726
26 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Yves Kapital Trading also known as YK Kapital and YK Trading (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190725
25 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Clone of EEA authorised firm
|
|
Marc Finance (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20190725
25 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Cloning details of a genuine firm
|
|
J.F. Global Advisors also trading as Jurgen Fleischmann Global Advisors (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20190725
25 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Cloning details of an EEA authorised firm
|
|
United Markets Capital
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20190725
25 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from UM Capital. This company is a suspected boiler room. UM Capital has approached persons without being asked, to offer them investment proposals. A
more
|
|
Morgan Cowen Capital Markets
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20190725
25 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Morgan Cowen Capital Markets. This company is a suspected boiler room. Morgan Cowen Capital Markets has approached persons without being asked, t
more
|
|
TraderUR
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20190725
25 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from TraderUR. This company is a suspected boiler room. TraderUR has approached persons without being asked, to offer them investment proposals. A boi
more
|
|
Alpha Financial Group
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20190725
25 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Alpha Financial Group. This company is a suspected boiler room. Alpha Financial Group has approached persons without being asked, to offer them i
more
|
|
HKS Securities ltd.
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20190725
25 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from HKS Securities ltd. This company is a suspected boiler room. HKS Securities ltd.
more
|
|
www.honglizichan.com
|
Securities and Futures Commission |
Hong Kong
|
20190725
25 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.merrillfx.com
|
Securities and Futures Commission |
Hong Kong
|
20190725
25 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.sinostonecap.com
|
Securities and Futures Commission |
Hong Kong
|
20190725
25 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.zgtz99.cn
|
Securities and Futures Commission |
Hong Kong
|
20190725
25 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Hunch
|
Securities and Futures Commission |
Hong Kong
|
20190725
25 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
SGtrade
|
Securities and Futures Commission |
Hong Kong
|
20190725
25 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.hkxhgj.com
|
Securities and Futures Commission |
Hong Kong
|
20190725
25 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Hong Kong HDI International Traders
|
Securities and Futures Commission |
Hong Kong
|
20190723
23 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
agm-invest.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190722
22 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
olympiamarkets.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190722
22 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
wigmarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190722
22 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Silver Wolf LTD
more
|
|
pbncapital.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190722
22 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Capital Tech LTD
more
|
|
maxitrade.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190722
22 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Maxi Services LTD
more
|
|
limaforex.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190722
22 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
LIMA FOREX
|
|
fsmsmarts.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190722
22 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FSM SMART LIMITED
more
|
|
capitalhedgemanagement.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190722
22 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Alpha Group Holding
more
|
|
bprimes.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190722
22 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Fina Holding LTD
more
|
|
blackcorerb.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190722
22 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Black Core LTD
more
|
|
bfxinternational.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190722
22 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Capital EM LTD
more
|
|
es.firstbtcfx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190722
22 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FIRST GLOBAL (UK) LIMITED
more
|
|
http://fhpfinance.com/
|
Financial Market Authority |
Austria
|
20190722
22 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Zeus Tech & Trading Group Ltd / www.fibonetix.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190719
19 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
James and Jenkins Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20190719
19 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Blackdale Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20190719
19 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
UK Financial Management Ltd
|
Financial Conduct Authority |
United Kingdom
|
20190719
19 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Austin Finance (clone of firm)
|
Financial Conduct Authority |
United Kingdom
|
20190719
19 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Cloning the details of a genuine firm.
|
|
Cartwright & Brown Wealth Advisory
|
Financial Conduct Authority |
United Kingdom
|
20190719
19 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Katsumi and Partners
|
Financial Conduct Authority |
United Kingdom
|
20190719
19 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Taurus Investments Wealth Management sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190717
17 Jul 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
Notification in accordance with Article 178 of Act on Trading in Financial Instruments. The KNF’s Chairman joined the proceedings initiated by other entity.
|
|
Maxi Services Ltd
|
Polish Financial Supervision Authority |
Poland
|
20190717
17 Jul 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Bitstar sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190717
17 Jul 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
Notification under Article 150(1) of the Act on payment services. Notification made by the KNF.
|
|
BNF Capital Limited
|
Financial Conduct Authority |
United Kingdom
|
20190717
17 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.31-fx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190716
16 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
31FX / 31-FX
more
|
|
www.orientscapital.com/www.theblueempire.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190716
16 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ORIENTS CAPITAL SYSTEM, LTD
more
|
|
www.cibfx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190716
16 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CAPITAL INVESTMENT BROKERS LIMITED
more
|
|
Direct Trading Technologies Ltd
|
Financial Conduct Authority |
United Kingdom
|
20190716
16 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Stanford Advisory
|
Financial Conduct Authority |
United Kingdom
|
20190716
16 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
King Capital Management
|
Financial Markets Authority |
New Zealand
|
20190712
12 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
MBI International/MFC Club
|
Financial Markets Authority |
New Zealand
|
20190712
12 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Skyway Capital/Skyway Group
|
Financial Markets Authority |
New Zealand
|
20190712
12 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
OneLife Network Limited and OneCoin Limited
|
Financial Markets Authority |
New Zealand
|
20190712
12 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
UK Investor Network
|
Financial Conduct Authority |
United Kingdom
|
20190711
11 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
VIPWayZone
|
Financial Services and Markets Authority |
Belgium
|
20190711
11 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Binary options'
|
|
Go Capital FX
|
Financial Services and Markets Authority |
Belgium
|
20190711
11 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'Binary options'
|
|
Redmayne Bentley (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190711
11 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Cloning details of FCA authorised firm
|
|
Bitcoin Trader
|
Financial Market Authority |
Austria
|
20190711
11 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Universe Markets / WhiteSquare Trading Ltd
|
Financial Market Authority |
Austria
|
20190711
11 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
http://mf-wealth.com/
|
Financial Market Authority |
Austria
|
20190711
11 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
ADUNO Capital Group Ltd
|
Financial Market Authority |
Austria
|
20190711
11 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
With Profits (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190709
09 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Rapid Cash Loans (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190709
09 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
website www.lfp-gestion.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190709
09 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
SAP one
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190709
09 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.wellingtoninv.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190709
09 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.wellington-investments.com
more
|
|
Hong Kong Dahua Capital International Limited
|
Securities and Futures Commission |
Hong Kong
|
20190709
09 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.videforex.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190709
09 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Videforex
more
|
|
www.smartcapitaladvisor.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190709
09 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
SMART CAPITAL ADVISOR, LTD
|
|
www.hqbroker.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190709
09 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HQ BROKER
more
|
|
https://grandcapital.net
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190709
09 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Grand Capital LTD
|
|
www.globalbcm.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190709
09 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Global BCM
|
|
www.fxtpremium.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190709
09 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Fxt Premium
more
|
|
www.cryptomb.io
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190709
09 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.cryptomb.cc
more
|
|
https://bitcointrader.software
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190709
09 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BITCOINTRADER
more
|
|
www.binarymate.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190709
09 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Binarymate
more
|
|
Huddleson Advisors
|
Financial Conduct Authority |
United Kingdom
|
20190708
08 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Quick Lends (clone of RU Media UK Limited)
|
Financial Conduct Authority |
United Kingdom
|
20190705
05 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Monetix Financial
|
Autorité des marchés financiers |
Quebec
|
20190705
05 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Sapien Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20190705
05 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Investment & Finance China Alliance Limited
|
Securities and Futures Commission |
Hong Kong
|
20190705
05 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Bison Prime Limited/Bison Prime & Forex
|
Securities and Futures Commission |
Hong Kong
|
20190705
05 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Pederson Law Firm
|
Financial Conduct Authority |
United Kingdom
|
20190704
04 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Cleeton Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20190704
04 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Cooper & Barnes Wealth Advisory
|
Financial Conduct Authority |
United Kingdom
|
20190704
04 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Levenson Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20190704
04 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Hill Law Associates
|
Financial Conduct Authority |
United Kingdom
|
20190704
04 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Baocheng International Investment Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20190704
04 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.hst22.com
|
Securities and Futures Commission |
Hong Kong
|
20190704
04 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Wall United Security Limited
|
Securities and Futures Commission |
Hong Kong
|
20190704
04 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Northern Trust Global Services Plc (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20190703
03 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Selinus Investment (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20190703
03 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
NBI Funds
|
Financial Conduct Authority |
United Kingdom
|
20190703
03 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
UK General Insurance Limited (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20190703
03 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Solo Capitals
|
Financial Conduct Authority |
United Kingdom
|
20190703
03 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Chiba Bank UK
|
Financial Conduct Authority |
United Kingdom
|
20190703
03 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Marigold City (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20190703
03 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Baillie Gifford (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20190703
03 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Zipcash LTd
|
Financial Conduct Authority |
United Kingdom
|
20190703
03 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
GCG Asia
|
Securities and Futures Commission |
Hong Kong
|
20190702
02 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.chgjzb.net
|
Securities and Futures Commission |
Hong Kong
|
20190702
02 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
KUVERA DINASTY
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.KUVERADYNASTY.COM
|
|
KUVERA LLC
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://KUVERAGLOBAL.COM
|
|
MMTIG
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://MMTIG.COM/
|
|
TRADERIA
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PRO STAR GRIFFITH CORPORATE LIMITED
more
|
|
RACEOPTION
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
RACE PROJECTS LTD
more
|
|
PayPeq Holdings OÜ, Herdos, Rsw Investment Group Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Consob has ordered the following companies to cease the infringement of article 18 of the Italian Legislative Decree N. 58/1998, consisting of the provision of unauthorised investment services to the Italian public:
more
|
|
FINRALLY
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ALGOBIT LTD
more
|
|
CAPITAL TRADEFX LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.CAPITALTRADEFX.COM
|
|
HTTPS://FINMAXBO.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MAX CAPITAL LIMITED
more
|
|
BINARYCENT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.BINARYCENT.COM
more
|
|
ECN PREMIUM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.ECNPREMIUM.COM
more
|
|
FARGO GLOBAL LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.FARGO-GLOBAL.COM
|
|
BINATEXIA LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
YULANTA BUSINESS LTD
more
|
|
WWW.GAINSY.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
HTTPS://CRIPTOMONEDASTOP.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Esta página podría estar vinculada con la web http://criptorobot.com con advertencia por parte de la CNMV el 7 de mayo de 2018.
|
|
IDENITIVE INVESTMENTS LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://INVEST.IDENITIVE.ORG/
more
|
|
WWW.FXPRIVILEGE.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190701
01 Jul 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Meridian Interstate Europe SL
|
Financial Market Authority |
Austria
|
20190701
01 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
CCTMarket
|
Financial Market Authority |
Austria
|
20190701
01 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Swiss Investment Corporation Ltd/ Swiss Investment Fx
|
Financial Market Authority |
Austria
|
20190701
01 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Bitcoin Trader
|
Financial Markets Authority |
New Zealand
|
20190701
01 Jul 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Unauthorised websites offering trading in atypical investments
|
Autorité des marchés financiers |
France
|
20190628
28 Jun 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF is publishing a list of new unauthorized websites offering atypical investments.
|
|
Vanilla Golden Trade
|
Autorité des marchés financiers |
France
|
20190628
28 Jun 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The AMF is issuing a public warning regarding the activities of Vanilla Golden Trade, which offers the opportunity to invest shares in order to finance the company’s vanilla production and export business, but which is not authorised to do so.
|
|
MERCADOS TRADING
|
Comisión Nacional de Valores |
Argentina
|
20190628
28 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ICHIMOKU FIBONACCI
|
Comisión Nacional de Valores |
Argentina
|
20190628
28 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Blueford Consultancy Ltd
|
Financial Conduct Authority |
United Kingdom
|
20190628
28 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.asia-trading.cc
|
Securities and Futures Commission |
Hong Kong
|
20190627
27 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
M.Success FX
|
Financial Conduct Authority |
United Kingdom
|
20190627
27 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Ontario Securities Commission
|
Ontario Securities Commission |
Ontario
|
20190626
26 Jun 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
TRSystem Limited also operating as CFDS100 and doing business as www.cfds100.com and CCLR Solutions Limited are not registered in Ontario to engage in the business of trading securities.
|
|
Ontario Securities Commission
|
Ontario Securities Commission |
Ontario
|
20190626
26 Jun 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
Software and Media Ltd. also operating as BoxInvesting and doing business as https://boxinvesting.com are not registered in Ontario to engage in the business of trading in securities.
|
|
Andreas Geiger (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20190626
26 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Cloning details of EEA Authorised firm.
|
|
Rising Speed International Limited
|
Securities and Futures Commission |
Hong Kong
|
20190626
26 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Wagon Finance
|
Financial Conduct Authority |
United Kingdom
|
20190626
26 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
31FX
|
Financial Conduct Authority |
United Kingdom
|
20190626
26 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
ASCO Investment Services
|
Financial Conduct Authority |
United Kingdom
|
20190626
26 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Belair House (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20190626
26 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Cloning details of EEA Authorised firm.
|
|
Unauthorised websites offering trading in binary options
|
Autorité des marchés financiers |
France
|
20190625
25 Jun 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading.
|
|
Unauthorised websites offering trading in cryptoasset derivatives
|
Autorité des marchés financiers |
France
|
20190625
25 Jun 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment services in France for derivatives whose underlyings include crypto assets.
|
|
Unauthorised websites offering trading in forex
|
Autorité des marchés financiers |
France
|
20190625
25 Jun 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so.
|
|
Dieter Hans-Werner Anzock (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190625
25 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Cloning details of EEA Authorised firm
|
|
AlphaTec Ltd, WebNet Ltd and 4Com Network Srl, Silver Wolf Limited, Solar Group Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190624
24 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Consob has ordered the following companies to cease the infringement of article 18 of the Italian Legislative Decree N. 58/1998, consisting of the provision of unauthorised investment services to the Italian public:
more
|
|
website www.placements-prives.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190624
24 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.belair-house.co.uk
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190624
24 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
S&P Broker
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190624
24 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
RED BÁSICA
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190624
24 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
http://www.redbasica.com/
|
|
selinusinvestment.com / selicoin.io
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190624
24 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not related with the entities SELINUS CAPITAL ADVISORS GMBH and SELINUS CAPITAL GMBH (WWW.SELINUS-CAPITAL.COM) which is operating in Spain as Investment Firms under the freedom to provide services with the number 4692 and 4693.
|
|
www.merrillhk.com
|
Securities and Futures Commission |
Hong Kong
|
20190621
21 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Capital Finances
|
Financial Conduct Authority |
United Kingdom
|
20190620
20 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Bad Credit Site
|
Financial Conduct Authority |
United Kingdom
|
20190620
20 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
智慧之王
|
Securities and Futures Commission |
Hong Kong
|
20190619
19 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Watchtower Finance Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190618
18 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Delta Car Insurance
|
Financial Conduct Authority |
United Kingdom
|
20190618
18 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
T. Rowe Price International Limited (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190618
18 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Goldman Sachs Asset Management International (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190618
18 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Daxhelet Capital
|
Financial Conduct Authority |
United Kingdom
|
20190618
18 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Sigma4trade Limited
|
Financial Conduct Authority |
United Kingdom
|
20190618
18 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Hedge Prestige Bank
|
Financial Conduct Authority |
United Kingdom
|
20190618
18 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Rsw Investment Group Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190618
18 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Consob has also suspended as precaution, pursuant to article 99 of the Italian Legislative Decree N. 58/1998, the offer to the Italian public of shares promoted by Rsw Investment Group Ltd (operating under the trade name of Skyway Invest Group or Sw
more
|
|
Empika Enterprise Ltd, Pmt 247 Ltd, Tqrtrade, Cryptocapitalfx, Safe Trade Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190618
18 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Consob has ordered the following companies to cease the infringement of article 18 of the Italian Legislative Decree N. 58/1998, consisting of the provision of unauthorised investment services to the Italian public:
more
|
|
https://www.hybridreserve.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190618
18 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
SINGLEBELL OU
more
|
|
www.financikatrade.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190618
18 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FINANCIKA, LTD
|
|
Fraudulent representation of CySEC officers
|
Cyprus Securities and Exchange Commission |
Cyprus
|
20190618
18 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Warning regarding individuals impersonating CySEC
more
|
|
FBC Asia Limited
|
Securities and Futures Commission |
Hong Kong
|
20190617
17 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Prime Trading Global
|
Securities and Futures Commission |
Hong Kong
|
20190617
17 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
http://u10063256.viewer.maka.im/k/4UFG9AOE
|
Securities and Futures Commission |
Hong Kong
|
20190617
17 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.jubo168.cn
|
Securities and Futures Commission |
Hong Kong
|
20190617
17 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Senta Information Ltd
|
Securities and Futures Commission |
Hong Kong
|
20190617
17 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
McCulloh & Townsend
|
Financial Markets Authority |
New Zealand
|
20190617
17 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
International Securities Regulatory Authority
|
Financial Markets Authority |
New Zealand
|
20190617
17 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Willow Group Limited
|
Financial Markets Authority |
New Zealand
|
20190617
17 Jun 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Fiedler Hans Peter (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190614
14 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of EEA Authorised firm.
|
|
Senta Information Ltd
|
Securities and Futures Commission |
Hong Kong
|
20190614
14 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
China-Hong Huaxia Fund Asset Management (Hong Kong) Co., Limited
|
Securities and Futures Commission |
Hong Kong
|
20190614
14 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.yideiwang.cn
|
Securities and Futures Commission |
Hong Kong
|
20190614
14 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fake President Fraud
|
Autorité des marchés financiers |
Quebec
|
20190613
13 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
The AMF has received several reports that one or more individuals are attempting to extirpate funds from insurance companies through this scheme. The fraudster, who poses as the president of the company concerned, sends an email to his victim, who is
more
|
|
Infinity Capital Markets
|
Financial Conduct Authority |
United Kingdom
|
20190613
13 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
SkyCentury Group
|
Securities and Futures Commission |
Hong Kong
|
20190613
13 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
輝煌國際金融有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20190613
13 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Brown Fox Limited, Global ES Ltd and Sonartech OÜ, A Corp Ltd, Solar Group Limited, Wachsende Werte Gmbh and Co KG and Scryptmining
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190613
13 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Consob has ordered the following companies to cease the infringement of article 18 of the Italian Legislative Decree N. 58/1998, consisting of the provision of unauthorised investment services to the Italian public:
more
|
|
Claims Careline Ltd
|
Financial Conduct Authority |
United Kingdom
|
20190613
13 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
LM Swiss Direct Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20190613
13 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Nobel Trade Investments LLC
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190612
12 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Collier Consulting Group LLC
|
Financial Conduct Authority |
United Kingdom
|
20190612
12 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
HG Financial Management Co (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190612
12 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of EEA Authorised firm
|
|
Equistone Volkswagen AG (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190611
11 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
clone of FCA authorised firm
|
|
Marcus Korsten (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190611
11 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
clone of EEA authorised firm
|
|
PayTrade (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190611
11 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
clone of FCA authorised firm
|
|
Easy FX Trade/Easy Trade Global (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190611
11 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm
|
|
Wings Finance / Wings Finance UK Limited
|
Financial Conduct Authority |
United Kingdom
|
20190611
11 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Property Option Investing
|
Financial Conduct Authority |
United Kingdom
|
20190611
11 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fiona Wilson Financial Services Limited (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190611
11 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
clone of FCA authorised firm
|
|
Kleinwort Hambros / SG Kleinwort Hambros Bank Limited (clone )
|
Financial Conduct Authority |
United Kingdom
|
20190611
11 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
clone of FCA authorised firm
|
|
Skandinaviska Enskilda Banken AB (“SEB”) (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190611
11 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
clone of EEA authorised firm
|
|
ICAP Crypto (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190611
11 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
clone of FCA authorised firm
|
|
Global Arab FX (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190611
11 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm
|
|
Delta Capital
|
Securities and Futures Commission |
Hong Kong
|
20190611
11 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Jiu Fu Capital Asset Management Co., Ltd.
|
Securities and Futures Commission |
Hong Kong
|
20190611
11 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://toptradepro.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190610
10 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://www.profit-trade.com/es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190610
10 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://dubaiprofitnow.com/en
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190610
10 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
http://www.ubcfx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190610
10 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Van Gossum Consult (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190610
10 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://es.tqrtrade.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190610
10 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
NEXT TRADE LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190610
10 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
OLYMPUS MARKETS
more
|
|
LOFER INVESTMENTS, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190610
10 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
LOFER INVESTMENTS, CORP
more
|
|
Stepsworth Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20190610
10 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
St Publius Malta Limited
|
Malta Financial Services Authority |
Malta
|
20190610
10 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Acatis Investment (Clone)
|
Malta Financial Services Authority |
Malta
|
20190610
10 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Wentworth Insurance Brokers Limited (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190607
07 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Global Equity Alpha (clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20190607
07 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Firm is cloning the name and product reference number of an FCA recognised fund
|
|
Bradford and Feldman Consultancy LLC
|
Financial Conduct Authority |
United Kingdom
|
20190607
07 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Lotus Global Investments Management LLP (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190607
07 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Sheridan Wells Advisors
|
Financial Services and Markets Authority |
Belgium
|
20190607
07 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Proud Market
|
Financial Services and Markets Authority |
Belgium
|
20190607
07 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Jonar N Stein
|
Financial Services and Markets Authority |
Belgium
|
20190607
07 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Global Alliance Capital
|
Financial Services and Markets Authority |
Belgium
|
20190607
07 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Elizabeth Lenz
|
Financial Services and Markets Authority |
Belgium
|
20190607
07 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Elibank Vernon
|
Financial Services and Markets Authority |
Belgium
|
20190607
07 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Echler Solomon Feng
|
Financial Services and Markets Authority |
Belgium
|
20190607
07 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning 'boiler room'
|
|
Murdoch Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20190606
06 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Zhong Tuo Futures (Hong Kong) Limited
|
Securities and Futures Commission |
Hong Kong
|
20190606
06 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
玖富財富資產管理有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20190606
06 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Libra Markets
|
Financial Market Authority |
Austria
|
20190606
06 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.clarium-capital.com
|
Financial Market Authority |
Austria
|
20190606
06 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.vpmwealth.com
|
Financial Market Authority |
Austria
|
20190606
06 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Capital Managements
|
Financial Market Authority |
Austria
|
20190606
06 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.cfc-ltd.com
|
Financial Market Authority |
Austria
|
20190606
06 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
TopTradePro / Motion LTD
|
Financial Market Authority |
Austria
|
20190606
06 Jun 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Molineaux-Investment
|
Financial Services and Markets Authority |
Belgium
|
20190605
05 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
warning
|
|
www.xgqihuo.com
|
Securities and Futures Commission |
Hong Kong
|
20190605
05 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MGX100Asia
|
Securities and Futures Commission |
Hong Kong
|
20190604
04 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.sm-advisors.com
|
Securities and Futures Commission |
Hong Kong
|
20190603
03 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.the-crypto-genius.net
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190603
03 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CRYPTO GENIUS
|
|
https://finaxis.io
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190603
03 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FINAXIS
|
|
Swissmain.com / Meridian Banc Ltd.
|
Financial Services and Markets Authority |
Belgium
|
20190603
03 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'binary options'
|
|
Authority Success International Limited / FXASI / AS International
|
Securities and Futures Commission |
Hong Kong
|
20190603
03 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.pattern-trader.net
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190603
03 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PATTERN TRADER
|
|
SSS Services
|
Financial Services and Markets Authority |
Belgium
|
20190603
03 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'binary options'
|
|
Plus Option
|
Financial Services and Markets Authority |
Belgium
|
20190603
03 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'binary options'
|
|
OMC Markets
|
Financial Services and Markets Authority |
Belgium
|
20190603
03 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'binary options'
|
|
BAT Financial Management
|
Securities and Futures Commission |
Hong Kong
|
20190603
03 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Markets Cube
|
Financial Services and Markets Authority |
Belgium
|
20190603
03 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'binary options'
|
|
Littinvest
|
Financial Services and Markets Authority |
Belgium
|
20190603
03 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'binary options'
|
|
Hope Area
|
Financial Services and Markets Authority |
Belgium
|
20190603
03 Jun 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning 'binary options'
|
|
Derrickson Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20190531
31 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Clockwork Loans
|
Financial Conduct Authority |
United Kingdom
|
20190531
31 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm
|
|
Mn99 Credit Union
|
Financial Conduct Authority |
United Kingdom
|
20190531
31 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm
|
|
BTG Pactual Investment Bank
|
Financial Conduct Authority |
United Kingdom
|
20190531
31 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm
|
|
Broad Oak Finance Limited
|
Financial Conduct Authority |
United Kingdom
|
20190531
31 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm
|
|
Holden & Co
|
Financial Conduct Authority |
United Kingdom
|
20190531
31 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm
|
|
PBH Invest
|
Financial Conduct Authority |
United Kingdom
|
20190531
31 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm
|
|
Blue Hill Capitals
|
Financial Conduct Authority |
United Kingdom
|
20190531
31 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm
|
|
J.P. Morgan Chase & Co.
|
Financial Conduct Authority |
United Kingdom
|
20190531
31 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm
|
|
Margin Bank
|
Financial Conduct Authority |
United Kingdom
|
20190531
31 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
TradoSpot OU
|
Financial Conduct Authority |
United Kingdom
|
20190531
31 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
OPT Finance
|
Financial Conduct Authority |
United Kingdom
|
20190531
31 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Molly Raam
|
Financial Conduct Authority |
United Kingdom
|
20190531
31 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
中信之星 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20190531
31 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.bsgfutures.cn
|
Securities and Futures Commission |
Hong Kong
|
20190531
31 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
FSE Global Solutions t/a Milton Park Capital
|
Financial Conduct Authority |
United Kingdom
|
20190530
30 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Lotus Global Investments Management LLP
|
Financial Conduct Authority |
United Kingdom
|
20190530
30 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA authorised firm
|
|
TurnFX / Turn FX
|
Financial Conduct Authority |
United Kingdom
|
20190530
30 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Deutsche Bank AG
|
Financial Conduct Authority |
United Kingdom
|
20190530
30 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
clone of FCA authorised firm
|
|
1Plus1 Loans UK Ltd
|
Financial Conduct Authority |
United Kingdom
|
20190530
30 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Jade & Kelvin Limited
|
Securities and Futures Commission |
Hong Kong
|
20190529
29 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
UKI/ Forexuki/ Forex UKI
|
Financial Conduct Authority |
United Kingdom
|
20190529
29 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
OneLife Network Limited
|
Australian Securities and Investments Commission |
Australia
|
20190529
29 May 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
OneCoin Limited
|
Australian Securities and Investments Commission |
Australia
|
20190529
29 May 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Duke Valentine Limited
|
Securities and Futures Commission |
Hong Kong
|
20190529
29 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.acm-patrimoine.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190528
28 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
BeCoFin Trust
|
Financial Market Authority |
Liechtenstein
|
20190528
28 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning of clone firm: https://www.becofinancement.com
|
|
Solu Trade
|
Financial Market Authority |
Liechtenstein
|
20190528
28 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning notice: https://solu-trade.com
|
|
Sanford Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20190528
28 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of FCA Authorised firm
|
|
Codexfx Ltd, Goldman 24 Limited, TradeGL Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190528
28 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CONSOB has ordered the following companies to cease the infringement of art. 18 of the Italian Legislative Decree N. 58/1998, consisting of the provision of unauthorised investment services to the Italian public:
more
|
|
Lextin Capital
|
Securities and Futures Commission |
Hong Kong
|
20190528
28 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Fort Trades
|
Securities and Futures Commission |
Hong Kong
|
20190528
28 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Marco Go Up Holding Limited
|
Securities and Futures Commission |
Hong Kong
|
20190528
28 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://max-your-profit.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MAX YOUR PROFIT
|
|
www.cryptopmarket.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CM CryptoMarket
more
|
|
https://btcrobot.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BITCOINROBOT
|
|
1K-DAILY PROFIT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://1k-dailyprofit.com
more
|
|
https://tradingwavesfusion.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Trading Waves Fusion
|
|
www.globalix.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GLOBALIX LTD
|
|
https://cryptosoft.global
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CRYPTOSOFT
|
|
www.investfxglobal.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
INVESTFXGLOBAL
|
|
www.tradesfx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
INVESTMENT 4 FUTURE LIMTED
|
|
www.capital88.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BT VENTURES LTD
more
|
|
www.ccxcrypto.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BONATECH LTD
more
|
|
www.bitcoinoie.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BITCOINOIE FINSERVICES LTD
more
|
|
www.xcoinbroker.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
STORM COMPLEX LTD
|
|
www.jbcapitals.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190527
27 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
STORM COMPLEX LTD
more
|
|
Hongkong Junshen Tianhung International Group
|
Securities and Futures Commission |
Hong Kong
|
20190524
24 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
融慧通 / 融慧通融資融券 / 融通國際(香港) (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20190524
24 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
GoldFxTrading (Gft), Partner Communication Ltd, Real Profit Consult Eood, Forgues Gestion Sas
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190523
23 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Consob has ordered the following companies to cease the infringement of art. 18 of the Italian Legislative Decree N. 58/1998, consisting of the provision of unauthorised investment services to the Italian public:
more
|
|
West Media Group Limited - Pro Technologies Ltd, Silver Wolf Limit, Our Technology OU (now Euro Wealth OU), CMP 24 Ltd, BitCoin Code, The Bitcoin Code, CryptoKarta
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190523
23 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Consob has ordered listed companies to cease infringement of art. 18 of the Italian Legislative Decree N. 58/1998, consisting of the provision of unauthorised investment services to the Italian public.
|
|
investment companies
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190523
23 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Consob has detected a significant increase of reports relating to "investment companies" stating that they are authorised to operate by CONSOB itself or by other supervisory authorities of EU countries. These subjects illegally use, even on their own
more
|
|
Capital Tech Limited t/a/ PBN Capital
|
Financial Conduct Authority |
United Kingdom
|
20190523
23 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Emirates Global Investment
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190522
22 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
World FXM/WorldFXM
|
Financial Conduct Authority |
United Kingdom
|
20190522
22 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Treasury Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20190520
20 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://mize.network
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190520
20 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
GLOBAL WORLD EXCHANGERS SL
|
|
www.marketgbp.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190520
20 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.leitnerhans.com
|
Financial Market Authority |
Austria
|
20190520
20 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Bealgo (B.A.X. LTD)
|
Financial Market Authority |
Austria
|
20190520
20 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.thomasmarkgraf.com
|
Financial Market Authority |
Austria
|
20190520
20 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Credit Solutions/ Credito Soluciones
|
Financial Market Authority |
Austria
|
20190520
20 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Stanford Capital Markets
|
Financial Conduct Authority |
United Kingdom
|
20190517
17 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.afs-fund.lu
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190517
17 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
China Hong Kong Asset Management Holdings Limited
|
Securities and Futures Commission |
Hong Kong
|
20190516
16 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Pearl Asia Holdings Limited
|
Securities and Futures Commission |
Hong Kong
|
20190516
16 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Insure4Life
|
Financial Conduct Authority |
United Kingdom
|
20190515
15 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
10 Capital/ 10-Capital
|
Financial Conduct Authority |
United Kingdom
|
20190515
15 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
PAY SECURE ONLINE LTD (“PAYSEC”) – https://www.paysec.com/
|
Malta Financial Services Authority |
Malta
|
20190515
15 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Platinum Global Associates
|
Financial Conduct Authority |
United Kingdom
|
20190515
15 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Greenwich Asia
|
Securities and Futures Commission |
Hong Kong
|
20190515
15 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.ab-ht.com
|
Securities and Futures Commission |
Hong Kong
|
20190515
15 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.xgqihuo.com
|
Securities and Futures Commission |
Hong Kong
|
20190515
15 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Jarvinia Holdings Ltd
|
Securities and Futures Commission |
Hong Kong
|
20190515
15 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Borneo Trading Group
|
Superintendencia del Mercado de Valores |
Panama
|
20190514
14 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Company not licensed to operate in the Republic of Panama.
more
|
|
FXLATAM
|
Superintendencia del Mercado de Valores |
Panama
|
20190514
14 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Company not registered.
more
|
|
Charles van Deursen
|
Securities and Futures Commission |
Hong Kong
|
20190514
14 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
KontoFX
|
Malta Financial Services Authority |
Malta
|
20190514
14 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
AQA Capital
|
Malta Financial Services Authority |
Malta
|
20190514
14 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Secure Trading Financial Services Limited
|
Malta Financial Services Authority |
Malta
|
20190514
14 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Terabanq
|
Malta Financial Services Authority |
Malta
|
20190514
14 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
BlackStreamMarkets - https://blackstreammarkets.com/
|
Malta Financial Services Authority |
Malta
|
20190514
14 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Bitcoin Revolution
|
Malta Financial Services Authority |
Malta
|
20190514
14 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
website www.wellington-management.org
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190513
13 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.ifxoption.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190513
13 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
IFX OPTION
|
|
http://hispamarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190513
13 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Hispa Markets Ltd
more
|
|
www.gallantfinance.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190513
13 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
ALLMEDIA LTD
|
|
https://bosmarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190513
13 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Buy & Sell Trading Investment Ltd
more
|
|
AXA Investment Managers UK Limited/ AXA IM Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20190513
13 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Purse International
|
Financial Conduct Authority |
United Kingdom
|
20190513
13 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
J.P. Morgan Chase & Co.
|
Financial Conduct Authority |
United Kingdom
|
20190513
13 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
website www.almagestgroup.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190513
13 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
website www.cdainvest.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190513
13 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ZAI / ZAI Finance
|
Financial Conduct Authority |
United Kingdom
|
20190508
08 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Tenecom Ltd
|
Financial Conduct Authority |
United Kingdom
|
20190508
08 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Provident Consultants Ltd
|
Financial Conduct Authority |
United Kingdom
|
20190507
07 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Blanc and Beaufort Brokerage
|
Financial Conduct Authority |
United Kingdom
|
20190507
07 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Clone of EEA Authorised firm.
|
|
www.2dots.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190507
07 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WEBNET LTD
more
|
|
www.ptbanc.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190507
07 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HILLSBORO GROUP, LTD
more
|
|
Taylor Maison Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20190507
07 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
BTM Global Investment
|
British Columbia Securities Commission |
British Columbia
|
20190507
07 May 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Loanski Finance Limited (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190501
01 May 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
AQA Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20190430
30 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Akari Ventures
|
Central Bank of Ireland |
Ireland
|
20190430
30 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Akari Ventures is not authorized by the Central Bank to provide investment services. The firm purports to be based in Japan.
|
|
Altium Patrimoine
|
Financial Conduct Authority |
United Kingdom
|
20190430
30 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Five Winds Asset Management
|
Financial Market Authority |
Austria
|
20190430
30 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Go T limited (GoTechFx)
|
Financial Market Authority |
Austria
|
20190430
30 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
BitcoinCode
|
Financial Market Authority |
Austria
|
20190430
30 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
AlgoTechs
|
Financial Market Authority |
Austria
|
20190430
30 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.schwarzgehard.com
|
Financial Market Authority |
Austria
|
20190430
30 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.brucknerf.com
|
Financial Market Authority |
Austria
|
20190430
30 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Fremont Capital
|
Financial Market Authority |
Austria
|
20190430
30 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.oliverantonlintner.com
|
Financial Market Authority |
Austria
|
20190430
30 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
HB Global
|
British Columbia Securities Commission |
British Columbia
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
lux-inter.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
LUXEMBOURG OFFSHORE BANKING
|
|
https://www.megatradefx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MACRO PROJECTS LTD
|
|
www.latam-fx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
LATAMFX
more
|
|
www.marketsbroker.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MARKETS BROKER
|
|
www.marquetcapital.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MARQUET CAPITAL
more
|
|
www.maximarkets.org
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
MAXIMARKETS
more
|
|
www.mbroker.trade
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
M BROKER
more
|
|
www.laadvisersgroup.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
LATIN AMERICAN ADVISERS GROUP
|
|
http://metodologia-espanola.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Metodología Española
|
|
https://nasdaq500.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
EMPIKA ENTERPRISE LTD
|
|
www.proforexcapital.group
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
PROFXCAPITAL
more
|
|
www.herdos.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Herdos
|
|
http://wandafx.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
EPER HOLDINGS LTD
more
|
|
www.gdmfx.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Global Derivative Capital Markets NZ Ltd
more
|
|
https://the-ethereumcodes.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
THE ETHEREUM CODE
|
|
www.fxlatam.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FxLatam
more
|
|
www.forexchief.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Forex Chief Ltd
|
|
http://flexioptions.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FlexiOptions
more
|
|
www.fgsmarkets.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
FGS Markets
more
|
|
DUBAI FXM LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.dubaifxm.trade
more
|
|
www.brokerz.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
BROKERZ LTD
more
|
|
Dawson Roberts Advisors LLC
|
Financial Conduct Authority |
United Kingdom
|
20190429
29 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Walton Securities LLC
|
Financial Conduct Authority |
United Kingdom
|
20190426
26 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Supreme sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190426
26 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Smart Money Network
|
Polish Financial Supervision Authority |
Poland
|
20190426
26 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Piotr Sałata
|
Polish Financial Supervision Authority |
Poland
|
20190426
26 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Magdalena Sałata Beauty&SPA
|
Polish Financial Supervision Authority |
Poland
|
20190426
26 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Level Up Finance sp. z o.o. (currently: New Capital sp. z o.o.)
|
Polish Financial Supervision Authority |
Poland
|
20190426
26 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
Level Up Finance sp. z o.o. has changed its business name to New Capital sp. z o.o.
|
|
JHG Group sp. z o.o. sp. k.
|
Polish Financial Supervision Authority |
Poland
|
20190426
26 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
GET-Z Edyta Torkandam-Zdziebiorska
|
Polish Financial Supervision Authority |
Poland
|
20190426
26 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Flinq Investment sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190426
26 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
DKBR Daniel Lecko
|
Polish Financial Supervision Authority |
Poland
|
20190426
26 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Chmielewski Investments sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190426
26 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Aragon Loans
|
Financial Conduct Authority |
United Kingdom
|
20190424
24 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
Please note that this bogus entity has no association whatsoever with the UK registered company Aragon Finance Limited (company registration number 08682281). Scammers are falsely claiming the name and address of the UK registered company.The genuine
more
|
|
Loans4Unemployed
|
Financial Conduct Authority |
United Kingdom
|
20190424
24 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Golden Grand Global Holding Ltd
|
Securities and Futures Commission |
Hong Kong
|
20190423
23 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Joshua Development LTD and Joshua Partners Eood , Silver Wolf Limited, TradoSpot OU
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190417
17 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Consob has ordered the following companies to cease the infringement of art. 18 of the Italian Legislative Decree N. 58/1998, consisting of the provision of unauthorised investment services and activities to the Italian public:
more
|
|
www.carsana-management.com, Efor Holdings Ltd and Bonvita Partners Ou, Esos International Ltd and Kadeky International Sro , Capital Tech Ltd and Pbox Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190417
17 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Consob has suspended, for a period of 90 days, pursuant to Article 99 of the Italian Legislative Decree n. 58/1998, the offer to the Italian public of investment packages/programmes called "Soluzioni x rendite automatiche” (solutions for automatic an
more
|
|
C&A Kapitał sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190416
16 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
HTTPS://CRYPTOCAPITALFX.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190415
15 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
HTTP://ETHTRADE.ONLINE / HTTPS://ETHTRADE.CLUB/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190415
15 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
WORLD TRADEX
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190415
15 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://WORLD-TRADEX-BROKERS.COM
|
|
ELIT PROPERTY VISION LTD / WESTWOODOFE
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190415
15 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://WESTWOODOFE.COM
|
|
TF TRADING LTD / TURBOFOREX
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190415
15 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://TURBOFOREX.COM
|
|
GET FINANCIAL LTD / TRADE GF
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190415
15 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://TRADEGF.COM
|
|
AZ TECHNOLOGY / SPOTXBT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190415
15 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://spotXBT.com
|
|
SAGESTNOVA S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190415
15 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.TULCAP.COM
more
|
|
POLOINVEST LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190415
15 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://POLOINVEST.GROUP
more
|
|
EL RASTREADOR FINANCIERO S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190415
15 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTP://RASTREADORFINANCIERO.COM
|
|
MATCHING BLUE CONSULTING S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190415
15 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.GOLDENMARKETS.COM
more
|
|
PV Merger Group
|
Financial Conduct Authority |
United Kingdom
|
20190415
15 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
NOTE – This firm is closely linked with a firm named as Oliver Anton Lintner (Clone of EEA Authorised firm)
|
|
Kingsman Global Limited / Lexal Limited
|
Securities and Futures Commission |
Hong Kong
|
20190415
15 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Thomas Markgraf
|
Financial Conduct Authority |
United Kingdom
|
20190412
12 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
CFX / Huanying International Limited
|
Securities and Futures Commission |
Hong Kong
|
20190412
12 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Gerda Broker sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190412
12 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
Rud i Batory Kancelaria Finansowa s.c.
|
Polish Financial Supervision Authority |
Poland
|
20190412
12 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
No additional comments posted.
|
|
STAKESHOP PTY LTD
|
Comissão de Valores Mobiliários |
Brazil
|
20190411
11 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website page: https://global.hellostake.com/br
|
|
SMARTEX INTERNATIONAL LTD (OLYMP TRADE)
|
Comissão de Valores Mobiliários |
Brazil
|
20190411
11 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website page: www.olymptrade.com
|
|
AVENUE SECURITIES LLC
|
Comissão de Valores Mobiliários |
Brazil
|
20190411
11 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website page:
more
|
|
www.yif-hk.com
|
Securities and Futures Commission |
Hong Kong
|
20190411
11 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.p9967.com
|
Securities and Futures Commission |
Hong Kong
|
20190411
11 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.qihuo852.com
|
Securities and Futures Commission |
Hong Kong
|
20190411
11 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Asia Associates
|
Securities and Futures Commission |
Hong Kong
|
20190411
11 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
www.grtuex.com
|
Securities and Futures Commission |
Hong Kong
|
20190411
11 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Tao Feng Associates
|
Securities and Futures Commission |
Hong Kong
|
20190411
11 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Ridgestone Financial
|
Securities and Futures Commission |
Hong Kong
|
20190411
11 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Boll International
|
Securities and Futures Commission |
Hong Kong
|
20190411
11 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Hongkong Golden Global Trading Investment Co., Limited
|
Securities and Futures Commission |
Hong Kong
|
20190411
11 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
I AM HOLDINGS LIMITED / I'm pro
|
Securities and Futures Commission |
Hong Kong
|
20190411
11 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
websites www.lascpi.fr and www.scpi-gouv.fr
|
Autorité des marchés financiers |
France
|
20190410
10 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF has drawn the public's attention to the behaviour of the websites www.lascpi.fr and www.scpi-gouv.fr which are using its name and logo improperly to propose to investors investment simulators and practical guides to investment in real
more
|
|
Kuerva LLC and Kuerva France
|
Autorité des marchés financiers |
France
|
20190410
10 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF is issuing a public warning regarding the activities of KUVERA LLC(1) /KUVERA France, which promotes trading on highly speculative products and more specifically targeting young people.
|
|
Dantata Success and Profitable Company
|
Securities and Exchange Commission |
Nigeria
|
20190410
10 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Aria Hope / Hope Area
|
Financial Conduct Authority |
United Kingdom
|
20190408
08 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
NEW DIGITAL BITS XXI, SA / ONCRIPTO
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://ONCRIPTO.CO
|
|
BITFXMARKET LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://BITFXMARKET.COM
|
|
BITFXMARKET LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://BITCOINFXOPTION.COM
|
|
HTTPS://VIP-PLATFORM.MARKET
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Not related with the entity SAFECAP INVESTMENTS LIMITED and its web www.markets.com which is operating in Spain as an Investment Firm under the freedom to provide services with the number 2381
|
|
EMPORIO TRADING LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://EMPORIOTRADING.COM
|
|
HTTP://SOCIALFOREX.ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
UPROFX
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://UPROFX.COM
|
|
BLACKSTONE CAPITAL LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.PEPPERDYNE.COM
|
|
SILVER WOLF LTD / EURTRADES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.EURTRADES.COM
|
|
DIVIDENDCARE LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://DIVIDENDCARE.COM
|
|
COLUMBIA CAPITAL GROUP LTD / CRYPTOEU
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTPS://CRYPTOEU.CO
|
|
ELIT PROPERTY VISION LTD / CAPITAL 245
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.CAPITAL245.COM
|
|
BROKER YARD / TECHOFIN LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
WWW.BROKERYARD.COM
|
|
BORNEO TRADING GROUP
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190408
08 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
HTTP://BORTRGROUP.COM
|
|
ACATIS INVESTMENT
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20190405
05 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
Warning updated on june 11th 2019
|
|
Tech Support Services
|
Financial Conduct Authority |
United Kingdom
|
20190405
05 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Blackwell Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20190405
05 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
TradePro Capitals Limited
|
Financial Conduct Authority |
United Kingdom
|
20190405
05 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Algo Trading Soft Broker Limited
|
Financial Conduct Authority |
United Kingdom
|
20190405
05 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
ADM Securities clone
|
Financial Conduct Authority |
United Kingdom
|
20190405
05 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Swiss Life International clone
|
Financial Conduct Authority |
United Kingdom
|
20190405
05 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Spectra FX Investments clone
|
Financial Conduct Authority |
United Kingdom
|
20190405
05 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Florence Garret clone
|
Financial Conduct Authority |
United Kingdom
|
20190405
05 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
EZCryptoplace
|
Financial Market Authority |
Austria
|
20190405
05 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
TradeToro
|
Financial Market Authority |
Austria
|
20190405
05 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
www.securetrading-services.com
|
Financial Market Authority |
Austria
|
20190405
05 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
CFDS100 LTD, Markets XL, CCLR Solutions Limited (“CFDS100”)
|
Financial Market Authority |
Austria
|
20190405
05 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Stella Markets
|
Financial Market Authority |
Austria
|
20190405
05 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
London Capital Trade, Apsilon, Sucaba Enterprise, Silver Wolf and doubleupgtl / dupmania websites
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190403
03 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CONSOB has ordered the following companies to cease the infringement of art. 18 of the Italian Legislative Decree N. 58/1998, consisting of the provision of unauthorised investment services and activities to the Italian public:
more
|
|
SolutionCm Ltd , Pro Star and BV1 Club Business Development SAS
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190403
03 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
CONSOB has ordered the following companies to cease the infringement of art. 18 of the Italian Legislative Decree N. 58/1998, consisting of the provision of unauthorised investment services and activities to the Italian public:
more
|
|
Innovative Loans
|
Financial Conduct Authority |
United Kingdom
|
20190403
03 Apr 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
Unauthorised websites offering trading in atypical investments
|
Autorité des marchés financiers |
France
|
20190403
03 Apr 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF has issued an updated warning regarding several companies proposing atypical investments without being authorized to do so.
|
|
Forte Capital Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20190403
03 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Execs Financial Service(s), EFS, Execs Lending Firm
|
Financial Conduct Authority |
United Kingdom
|
20190402
02 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Bellsouth Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20190401
01 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
MT Capital
|
Financial Conduct Authority |
United Kingdom
|
20190401
01 Apr 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
https://adava.capital.eu
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190329
29 Mar 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Unauthorised offers of trading in cryptocurrency derivatives
|
Autorité des marchés financiers |
France
|
20190327
27 Mar 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF and the ACPR are publishing a list of new websites and entities offering trading of investments on cryptocurrency derivatives without authorisation in France.
|
|
Stonehouse Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20190327
27 Mar 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Unauthorised websites offering forex trading
|
Autorité des marchés financiers |
France
|
20190327
27 Mar 2019
|
Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
The French AMF and the Autorité de contrôle prudential et de resolution (ACPR) are publishing an update to the list of new websites and entities offering investments on the unregulated foreign exchange (Forex) market in France, without authorisation
more
|
|
LATINASOFT SA
|
Comisión Nacional de Valores |
Argentina
|
20190325
25 Mar 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
GRF EUROPE OÜ / BOCK INTL LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190325
25 Mar 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
www.4xfx.com
|
|
MIL XTRA LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190325
25 Mar 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
http://1000extra.com
|
|
MILLENNIUM ACQUISITION PARTNERS, LLC
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190325
25 Mar 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Mira Capital Markets LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190325
25 Mar 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://miramarkets.capital
|
|
MIRA MARKETS Ltd. / MY TRADE MM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190325
25 Mar 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
https://mytrademm.com
|
|
Bitsurge Token facebook page, Progetto Wachsende Werte e Scryptmining, Columbia Capital Group Ltd, Sucaba Enterprise Ltd, LKM Groups Ltd, Elit Property Vision Ltd, Get Financial Markets Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190325
25 Mar 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
self-styled credit recovery companies
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190325
25 Mar 2019
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Commissione Nazionale per le Società e la Borsa (Consob) recording a significant increase in the number of reports relating to the self-styled credit recovery companies that, even falsely stating to be authorised by CONSOB, offer potential custom
more
|
|
Moreno, Rey and Partners
|
Jersey Financial Services Commission |
Jersey
|
20190325
25 Mar 2019
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
No additional comments posted.
|
|
BAT Financial Management
|
Financial Conduct Authority |
United Kingdom
|
20190322
22 Mar 2019
|
|
Clone of EEA Authorised firm.
|
|
Carter Financial Services
|
Financial Market Authority |
Austria
|
20190321
21 Mar 2019
|
|
No additional comments posted.
|
|
Global Co Crypto
|
Financial Conduct Authority |
United Kingdom
|
20190321
21 Mar 2019
|
|
No additional comments posted.
|
|
Amana Trade
|
Financial Conduct Authority |
United Kingdom
|
20190321
21 Mar 2019
|
|
No additional comments posted.
|
|
www.01428.hk
|
Securities and Futures Commission |
Hong Kong
|
20190321
21 Mar 2019
|
|
No additional comments posted.
|
|
www.zhongzhou188.com
|
Securities and Futures Commission |
Hong Kong
|
20190321
21 Mar 2019
|
|
No additional comments posted.
|
|
Pennberg KPO LLC
|
Financial Conduct Authority |
United Kingdom
|
20190320
20 Mar 2019
|
|
No additional comments posted.
|
|
Waterfield Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20190320
20 Mar 2019
|
|
No additional comments posted.
|
|
Hernuel Management
|
Financial Market Authority |
Austria
|
20190320
20 Mar 2019
|
|
No additional comments posted.
|
|
Orion Service EOOD (Wisebanc)
|
Financial Market Authority |
Austria
|
20190320
20 Mar 2019
|
|
No additional comments posted.
|
|
WiseBank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190320
20 Mar 2019
|
|
No additional comments posted.
|
|
Tomas Tisler Financial Management
|
Financial Conduct Authority |
United Kingdom
|
20190320
20 Mar 2019
|
|
Clone of EEA Authorised firm
|
|
Hang Seng Small Cap Exchange / HS-EX
|
Securities and Futures Commission |
Hong Kong
|
20190320
20 Mar 2019
|
|
No additional comments posted.
|
|
Yingsheng Financial Investment Management Co., Limited
|
Securities and Futures Commission |
Hong Kong
|
20190319
19 Mar 2019
|
|
No additional comments posted.
|
|
Priv Invest / Priv-Invest / PrivInvest
|
Financial Conduct Authority |
United Kingdom
|
20190319
19 Mar 2019
|
|
No additional comments posted.
|
|
Sucdens Financial / Sucden Financial
|
Financial Conduct Authority |
United Kingdom
|
20190319
19 Mar 2019
|
|
No additional comments posted.
|
|
Depaho Ltd
|
Polish Financial Supervision Authority |
Poland
|
20190319
19 Mar 2019
|
|
No additional comments posted.
|
|
Union Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20190318
18 Mar 2019
|
|
No additional comments posted.
|
|
BCOIN MARKET
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190318
18 Mar 2019
|
|
https://bcoin.market
|
|
BROKERF1 MARKETS GLOBAL CORP / TRADE MARKETS GLOBAL CORP / CASA DE GENERAL OPTIONS LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190318
18 Mar 2019
|
|
https://brokercryptof1.com
|
|
ELMOND ENTERPRISE LTD / CRYPTO KARTAL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190318
18 Mar 2019
|
|
www.cryptokartal.com
|
|
ETHEREUM CODE BOT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190318
18 Mar 2019
|
|
https://ethereumcodebot.com
|
|
EUROTRADE INVESTMENTS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190318
18 Mar 2019
|
|
www.eurotradeinvestmentsrgb.com/
more
|
|
BALI LIMITED LTD / FLY FINANCIAL GROUP
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190318
18 Mar 2019
|
|
https://flyfinancialgroup.com
|
|
KAYAFX / ALPHATEC LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190318
18 Mar 2019
|
|
https://kayafx.com/
|
|
SOCIÉTÉ GENERALE D'PATRIMOINE, S.A.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190318
18 Mar 2019
|
|
No additional comments posted.
|
|
Porto Immo SCPI
|
Autorité des marchés financiers |
France
|
20190315
15 Mar 2019
|
|
The French AMF has published a warning regarding the activities of PORTO IMMO SCPI and its website, which are suggesting to invest in the above mentioned real estate investment company (SCPI) without authorisation.
|
|
FINESCO LIMITED
|
Financial Services and Markets Authority |
Belgium
|
20190315
15 Mar 2019
|
|
Warning 'Fraudulent credit offers'
|
|
華益財富有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20190314
14 Mar 2019
|
|
No additional comments posted.
|
|
www.parel‐gestion.net
|
Autorité des marchés financiers |
France
|
20190313
13 Mar 2019
|
|
The French AMF has issued a warning to the public regarding the activities of the website www.parel-gestion.net, which is proposing investments without authorisation and making fraudulent use of the name of Parel SA.
|
|
Swiss Financial Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190313
13 Mar 2019
|
|
No additional comments posted.
|
|
Payton Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20190313
13 Mar 2019
|
|
No additional comments posted.
|
|
HK Xinhong
|
Securities and Futures Commission |
Hong Kong
|
20190313
13 Mar 2019
|
|
No additional comments posted.
|
|
Major Options Investment
|
British Columbia Securities Commission |
British Columbia
|
20190312
12 Mar 2019
|
|
No additional comments posted.
|
|
DeltaFxMarkets and Blue Seal Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190312
12 Mar 2019
|
|
CONSOB has ordered the following companies to cease the infringement of art. 18 of the Italian Legislative Decree N. 58/1998, consisting of the provision of unauthorised investment services and activities to the Italian public:
more
|
|
Kruger Exchange (trading name of Marketing Essentials)
|
Financial Conduct Authority |
United Kingdom
|
20190312
12 Mar 2019
|
|
No additional comments posted.
|
|
www.wuifung.co.uk
|
Securities and Futures Commission |
Hong Kong
|
20190312
12 Mar 2019
|
|
No additional comments posted.
|
|
CAPITAL FXG LTD / NORDIC PEARL LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190311
11 Mar 2019
|
|
www.forexgrand.com
|
|
MILLENNIUM FX LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190311
11 Mar 2019
|
|
www.mnmfx.com
|
|
www.tradovest.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190311
11 Mar 2019
|
|
CELESTIAL TRADING LTD
|
|
Birchwood International
|
Securities and Futures Commission |
Hong Kong
|
20190311
11 Mar 2019
|
|
No additional comments posted.
|
|
Fusian Investment Co., Ltd
|
Securities and Futures Commission |
Hong Kong
|
20190311
11 Mar 2019
|
|
No additional comments posted.
|
|
Purse International Ltd / PRS Group
|
Securities and Futures Commission |
Hong Kong
|
20190311
11 Mar 2019
|
|
No additional comments posted.
|
|
GFC Investment
|
Financial Conduct Authority |
United Kingdom
|
20190308
08 Mar 2019
|
|
Scam
|
|
General Partner Finance Limited
|
Financial Conduct Authority |
United Kingdom
|
20190308
08 Mar 2019
|
|
Clone of authorised firm
|
|
Tradition London Clearing/ Tradition Cheptal
|
Financial Conduct Authority |
United Kingdom
|
20190308
08 Mar 2019
|
|
Clone of authorised firm
|
|
Gold FC Trading
|
Financial Conduct Authority |
United Kingdom
|
20190308
08 Mar 2019
|
|
Clone of authorised firm
|
|
Cashbery Limited/ Global Decentralised Community
|
Financial Conduct Authority |
United Kingdom
|
20190308
08 Mar 2019
|
|
Scam
|
|
Engaged Solutions also trading as Access Loans
|
Financial Conduct Authority |
United Kingdom
|
20190308
08 Mar 2019
|
|
Clone of authorised firm
|
|
Zurich Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20190308
08 Mar 2019
|
|
Clone of authorised firm
|
|
Prisma Global Limited, Brokerz Ltd and All Media Food, Sky Way Capital Inc.
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190308
08 Mar 2019
|
|
CONSOB has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree No. 58/1998,
more
|
|
Safecap Investments Poland Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190307
07 Mar 2019
|
|
No additional comments posted.
|
|
Cooper Newton Management Group / Cooper-Newton Management Group
|
Financial Conduct Authority |
United Kingdom
|
20190307
07 Mar 2019
|
|
No additional comments posted.
|
|
GCG ASIA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190306
06 Mar 2019
|
|
No additional comments posted.
|
|
益華國際 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20190306
06 Mar 2019
|
|
No additional comments posted.
|
|
European Capital Markets Ltd (clone of an FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190305
05 Mar 2019
|
|
Firm is cloning the details of an FCA authorised firm
|
|
Xtrader-FX GPay Ltd
|
Financial Market Authority |
Austria
|
20190304
04 Mar 2019
|
|
No additional comments posted.
|
|
SingleBell Ltd
|
Financial Market Authority |
Austria
|
20190304
04 Mar 2019
|
|
No additional comments posted.
|
|
“Profit Trade” GPS Marketing LTD und Global Top Marketing LTD
|
Financial Market Authority |
Austria
|
20190304
04 Mar 2019
|
|
No additional comments posted.
|
|
Matching Blue Consulting S.L. (“Golden Markets”)
|
Financial Market Authority |
Austria
|
20190304
04 Mar 2019
|
|
No additional comments posted.
|
|
Warrington Shaw
|
Financial Market Authority |
Austria
|
20190304
04 Mar 2019
|
|
No additional comments posted.
|
|
IWC INVESTMENT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190304
04 Mar 2019
|
|
www.iwcinvestment.com.
more
|
|
Golden Financial Service Limited / Golden Financial Solutions Limited / Golden Financial Solutions (Service) Ltd / Golden Financial FINANCIAL PTY LTD / Golden Financial / GDFX
|
Securities and Futures Commission |
Hong Kong
|
20190304
04 Mar 2019
|
|
No additional comments posted.
|
|
Better Car Insurance
|
Financial Conduct Authority |
United Kingdom
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Vanguard Wealth Advisory
|
Financial Conduct Authority |
United Kingdom
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Kazmierczak Dariusz Ventus
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
TOPINVEST Renata Kaczmarek
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Solutio Jarosław Jaskuła
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Sebastian Wiedera Doradztwo Finansowe
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Usługi Finansowe Sebastian Kłonowski
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Pośrednictwo Finansowe Krzysztof Poniatowski
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Paulina Ruszkowska - Consulting
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Sylwia Borucka-Kazmierczak Olimpus
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Mofino sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Michał Kowalik
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Merkury Finanse Maciej Szczepaniak
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Marek Federak
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Marcus Invest sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Lion’s House Investments Banking sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Kancelaria Twój Majątek sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Kamil Kulig
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Jacek Gess
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Initium Maciej Chodyna
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Head Asset Solutions sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Green Trade Capital sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Goodfinn sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Robert Gess R.P. Invest
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Andrzej Gasidło
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Foksal Invest sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Family Office Center sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Dawid Gaweł
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
BTM INVEST Wojciech Połoczański
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Bridge.4 Janina Niedźwiedź-Gliniecka
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Artur Pawlęga
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
“Altern” Szkudlarek Spółka Jawna
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
A & J Inwestycje Jacek Suhak
|
Polish Financial Supervision Authority |
Poland
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
Morgan & Berkeley Associates / Morgan and Berkeley Associates
|
Financial Conduct Authority |
United Kingdom
|
20190301
01 Mar 2019
|
|
No additional comments posted.
|
|
ECN Premium
|
Finansinspektionen |
Sweden
|
20190228
28 Feb 2019
|
|
No additional comments posted.
|
|
Holland and Pearce Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20190227
27 Feb 2019
|
|
No additional comments posted.
|
|
JT CAPITAL MARKETS
|
Financial Conduct Authority |
United Kingdom
|
20190227
27 Feb 2019
|
|
No additional comments posted.
|
|
Berlinger Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190227
27 Feb 2019
|
|
No additional comments posted.
|
|
Fraudulent use of the name and license of IWC Investment Partners A/S
|
Danish Financial Supervisory Authority |
Denmark
|
20190227
27 Feb 2019
|
|
The Danish Financial Supervisory Authority (FSA) warns the public against the fraudulent use of the name IWC Investment Partners A/S and its license
|
|
Futong Investment Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20190227
27 Feb 2019
|
|
No additional comments posted.
|
|
CSC Asia Pacific Limited
|
Securities and Futures Commission |
Hong Kong
|
20190227
27 Feb 2019
|
|
No additional comments posted.
|
|
https://24btcmarkets.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190226
26 Feb 2019
|
|
PRO SPEED TECH LTD
|
|
https://www.cfdroyal.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190226
26 Feb 2019
|
|
Y2 MEDIA GROUP
|
|
https://www.fxnobel.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190226
26 Feb 2019
|
|
GLENCOE PARTNERS LTD
|
|
https://www.fxnobels.io/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190226
26 Feb 2019
|
|
No additional comments posted.
|
|
https://platinumstrade.com/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190226
26 Feb 2019
|
|
WEST MEDIA GROUP LTD
|
|
Real Estate Facility GmbH in Liquidation
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190226
26 Feb 2019
|
|
No additional comments posted.
|
|
SMS Associates
|
Securities and Futures Commission |
Hong Kong
|
20190226
26 Feb 2019
|
|
No additional comments posted.
|
|
Crypto Capitals
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190226
26 Feb 2019
|
|
No additional comments posted.
|
|
Investfinans Bank Group AB
|
Financial Market Authority |
Austria
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
Investfinans AB
|
Financial Market Authority |
Austria
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
Mobile Cash / MobiCASH / mCASH ITOS d.o.o.
|
Financial Market Authority |
Austria
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
Capital Com Investment Ltd, One Thousand One Ltd, FSM Smart Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
Goldmancfd, Orion Service Eood and Tlc Consulting Ltd, First Global (UK) Limited, Light Media Ltd, Sky Way Capital Inc., Eagle Bit Trade, Cryptoforce Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
Progetcom Srl under liquidation
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
www.opzionefinanza.com, www.rivoluzionalatuavitadesso.it and the Facebook page https://it-it.facebook.com/rivoluzionalatuavita/
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
https://gamebtcfx.com; https://it.360smartfx.com and www.smartprofx.com
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
https://procapitalfx.com; https://it.probtctrade.com; https://it.btcglobefx.com; https://firstfxclub.com; https://it.protradefx.com; https://it.smartbtcfx.com; https://capitalfxclub.com; https://it.capitalbtcfx.com; https://cryptoclubfx.com
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
Glencoe Partners Ltd, Velmon Enterprise Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
Smart Choice Zones LP, Fx Breeze, Togacoin Ltd, Amicopolis Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
Nordic Pearl Ltd and Grand Services Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
Bv1 Club Business Development SAS
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
www.hkbcincentral.hk
|
Securities and Futures Commission |
Hong Kong
|
20190225
25 Feb 2019
|
|
No additional comments posted.
|
|
IB Life Ltd
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190222
22 Feb 2019
|
|
No additional comments posted.
|
|
Wexner Consultancy Group
|
Financial Conduct Authority |
United Kingdom
|
20190222
22 Feb 2019
|
|
No additional comments posted.
|
|
Steiner and Partners
|
Financial Conduct Authority |
United Kingdom
|
20190222
22 Feb 2019
|
|
No additional comments posted.
|
|
https://citadelcm-hk.com
|
Securities and Futures Commission |
Hong Kong
|
20190222
22 Feb 2019
|
|
No additional comments posted.
|
|
Stone Capital Partners and Bania Technologies Online Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20190222
22 Feb 2019
|
|
No additional comments posted.
|
|
Harper and Brown / Harper & Brown
|
Financial Conduct Authority |
United Kingdom
|
20190221
21 Feb 2019
|
|
No additional comments posted.
|
|
Hurst & Partners Investments Co. Limited
|
Securities and Futures Commission |
Hong Kong
|
20190221
21 Feb 2019
|
|
No additional comments posted.
|
|
Crypto Islamic Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190220
20 Feb 2019
|
|
No additional comments posted.
|
|
PBN Capital (Capital Tech Ltd / Pbox Ltd)
|
Financial Services and Markets Authority |
Belgium
|
20190220
20 Feb 2019
|
|
warning Binary Options and Forex Products
|
|
HybridReserve (Singlebell LTD / SingleBell OU)
|
Financial Services and Markets Authority |
Belgium
|
20190220
20 Feb 2019
|
|
warning Binary Options and Forex Products
|
|
FXG Trade (Capital FXG Ltd / Nordic Pearl Ltd)
|
Financial Services and Markets Authority |
Belgium
|
20190220
20 Feb 2019
|
|
warning Binary Options and Forex Products
|
|
CFDS100.com (TRSYSTEM Limited)
|
Financial Services and Markets Authority |
Belgium
|
20190220
20 Feb 2019
|
|
warning Binary Options and Forex Products
|
|
365 Markets (Trustnet Ltd)
|
Financial Services and Markets Authority |
Belgium
|
20190220
20 Feb 2019
|
|
warning Binary Options and Forex Products
|
|
www.redsolarcapital.com
|
Securities and Futures Commission |
Hong Kong
|
20190220
20 Feb 2019
|
|
No additional comments posted.
|
|
Crypto Hedge F
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190220
20 Feb 2019
|
|
No additional comments posted.
|
|
Capital Hall/Capital Tech Ltd
|
Central Bank of Ireland |
Ireland
|
20190218
18 Feb 2019
|
|
Capital Hall/Capital Tech Limited is not authorized by the Central Bank to provide investment services. The firm purports to be based in the Marshall Islands.
|
|
ICG International Commodities Group
|
British Columbia Securities Commission |
British Columbia
|
20190215
15 Feb 2019
|
|
No additional comments posted.
|
|
K2 Wall Street
|
Financial Conduct Authority |
United Kingdom
|
20190215
15 Feb 2019
|
|
No additional comments posted.
|
|
peakoptions24
|
British Columbia Securities Commission |
British Columbia
|
20190214
14 Feb 2019
|
|
No additional comments posted.
|
|
Oliver Anton Lintner (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20190214
14 Feb 2019
|
|
Clone of EEA Authorised firm
|
|
Frontier Markets (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20190214
14 Feb 2019
|
|
Clone of FCA recognised fund
|
|
Celestial Trading Ltd / Tradeinvest90
|
Financial Market Authority |
Austria
|
20190214
14 Feb 2019
|
|
No additional comments posted.
|
|
Aim Global Insurance Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20190214
14 Feb 2019
|
|
No additional comments posted.
|
|
Lisinex
|
Securities and Futures Commission |
Hong Kong
|
20190214
14 Feb 2019
|
|
No additional comments posted.
|
|
Old Trader Investment Management
|
Securities and Futures Commission |
Hong Kong
|
20190214
14 Feb 2019
|
|
No additional comments posted.
|
|
Sussex Investment
|
British Columbia Securities Commission |
British Columbia
|
20190213
13 Feb 2019
|
|
No additional comments posted.
|
|
Union Finances
|
Financial Services and Markets Authority |
Belgium
|
20190213
13 Feb 2019
|
|
Warning 'Fraudulent credit offers'
|
|
Social Generated Province Banking
|
Financial Services and Markets Authority |
Belgium
|
20190213
13 Feb 2019
|
|
Warning 'Fraudulent credit offers'
|
|
Mercury Connect
|
Financial Services and Markets Authority |
Belgium
|
20190213
13 Feb 2019
|
|
Warning 'Fraudulent credit offers'
|
|
Financial Services Bank ('FS Bank')
|
Financial Services and Markets Authority |
Belgium
|
20190213
13 Feb 2019
|
|
Warning 'Fraudulent credit offers'
|
|
Finazona / Prêteur Ortiz
|
Financial Services and Markets Authority |
Belgium
|
20190213
13 Feb 2019
|
|
Warning 'Fraudulent credit offers'
|
|
http://scene.xunzhuang.net/v/U912192N35J4?from=singlemessage
|
Securities and Futures Commission |
Hong Kong
|
20190212
12 Feb 2019
|
|
No additional comments posted.
|
|
https://cif-global-markets.com
|
Securities and Futures Commission |
Hong Kong
|
20190212
12 Feb 2019
|
|
No additional comments posted.
|
|
http://rongtongzq.com
|
Securities and Futures Commission |
Hong Kong
|
20190212
12 Feb 2019
|
|
No additional comments posted.
|
|
CCFDBank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190212
12 Feb 2019
|
|
No additional comments posted.
|
|
WorldWide CapitalFX
|
British Columbia Securities Commission |
British Columbia
|
20190211
11 Feb 2019
|
|
No additional comments posted.
|
|
Capital World Market
|
British Columbia Securities Commission |
British Columbia
|
20190211
11 Feb 2019
|
|
No additional comments posted.
|
|
https://bitcoinsanalytica.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190211
11 Feb 2019
|
|
No additional comments posted.
|
|
Fund Alliance Limited
|
Securities and Futures Commission |
Hong Kong
|
20190211
11 Feb 2019
|
|
No additional comments posted.
|
|
Miller Davis & Partners / Miller Davis and Partners
|
Financial Conduct Authority |
United Kingdom
|
20190208
08 Feb 2019
|
|
No additional comments posted.
|
|
Royston Carr Asset Management
|
Financial Market Authority |
Austria
|
20190208
08 Feb 2019
|
|
No additional comments posted.
|
|
Velmon Enterprise Ltd (“FX Market Pro”)
|
Financial Market Authority |
Austria
|
20190208
08 Feb 2019
|
|
No additional comments posted.
|
|
kontofx
|
Financial Market Authority |
Austria
|
20190208
08 Feb 2019
|
|
No additional comments posted.
|
|
Insight Managed Funds
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190207
07 Feb 2019
|
|
No additional comments posted.
|
|
RB Wealth
|
Financial Conduct Authority |
United Kingdom
|
20190207
07 Feb 2019
|
|
Scam firm
|
|
Tessline Limited
|
Central Bank of Ireland |
Ireland
|
20190207
07 Feb 2019
|
|
Tessline Limited is not authorized by the Central Bank to provide investment services. The firm purports to be based in Ireland.
|
|
24FOREXLIVE LIMITED
|
Financial Services Commission |
Mauritius
|
20190207
07 Feb 2019
|
|
No additional comments posted.
|
|
Heritage Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20190206
06 Feb 2019
|
|
No additional comments posted.
|
|
1KCOIN EQUITY CROWDFUNDING
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
https://1kcoin.net
|
|
ADN MARKETS LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
https://adnmarkets.com/
|
|
ALTINDEX
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
www.alt-index.com
|
|
LUX ANT DIGITAL, SL / ALUX BANK
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
www.luxantdigitalbank.com
|
|
CELOX CONSULTING SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
No additional comments posted.
|
|
KLDC TECHNOLOGICAL SYSTEMS LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
https://www.cfxpoint.com/
|
|
CREPAX CONSULTING SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
No additional comments posted.
|
|
CYSEC BANK
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
www.cysecbank.com. NOT TO BE CONFUSED with the Cyprus Securities and Exchange Commission (‘CySEC’)
|
|
FLUON ECOSYSTEM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
http://fluonecosystem.org
|
|
HTTPS://MAGASSET.COM/ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
No additional comments posted.
|
|
SOLVENTA CAPITAL INVESTMENT GROUP SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
www.solventa-group.com
|
|
SWISS INVEST FINANCE SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
www.swissinvestfinance.com
|
|
TOKEN HOME
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
https://tokenhome.org
|
|
VON VELDENSTEIN GROUP SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
http://von-veldenstein.com/
|
|
RAZONABLE EUROPEA, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190204
04 Feb 2019
|
|
No additional comments posted.
|
|
天發證券 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20190204
04 Feb 2019
|
|
No additional comments posted.
|
|
Prime Capital SE
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190201
01 Feb 2019
|
|
No additional comments posted.
|
|
Dawn Light Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20190201
01 Feb 2019
|
|
No additional comments posted.
|
|
Zongang Group / Zhonguangcaifu / Zongangguoxin Group Co.,Ltd.
|
Securities and Futures Commission |
Hong Kong
|
20190201
01 Feb 2019
|
|
No additional comments posted.
|
|
XMarkets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190131
31 Jan 2019
|
|
No additional comments posted.
|
|
Brokerz Ltd
|
Financial Market Authority |
Austria
|
20190130
30 Jan 2019
|
|
No additional comments posted.
|
|
cryptocapitals
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190130
30 Jan 2019
|
|
No additional comments posted.
|
|
Crypto Life Fund
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190130
30 Jan 2019
|
|
No additional comments posted.
|
|
Asset Grand
|
Securities and Futures Commission |
Hong Kong
|
20190130
30 Jan 2019
|
|
No additional comments posted.
|
|
Ligget Krier Investment Brokerhouse
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190129
29 Jan 2019
|
|
No additional comments posted.
|
|
Langston Financial
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20190129
29 Jan 2019
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Sapone Trading
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20190129
29 Jan 2019
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Tao Feng Associates
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20190129
29 Jan 2019
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Investment Private Bank IPB Swiss
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190129
29 Jan 2019
|
|
No additional comments posted.
|
|
Option888, owned and operated by Celestial Trading Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20190128
28 Jan 2019
|
|
No additional comments posted.
|
|
RAM Solutions Group
|
Finansinspektionen |
Sweden
|
20190128
28 Jan 2019
|
|
No additional comments posted.
|
|
https://lux-inter.com
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20190128
28 Jan 2019
|
|
No additional comments posted.
|
|
EVEREST TECH LTD / GOLDCAPITALPRO
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190128
28 Jan 2019
|
|
www.goldcapitalpro.com
|
|
Coinroom sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190128
28 Jan 2019
|
|
No additional comments posted.
|
|
http://yingdash.cn
|
Securities and Futures Commission |
Hong Kong
|
20190125
25 Jan 2019
|
|
No additional comments posted.
|
|
www.yingda7hsh.com
|
Securities and Futures Commission |
Hong Kong
|
20190125
25 Jan 2019
|
|
No additional comments posted.
|
|
http://xghdgj.jzjzs2.com
|
Securities and Futures Commission |
Hong Kong
|
20190124
24 Jan 2019
|
|
No additional comments posted.
|
|
China Pacific Capital
|
Securities and Futures Commission |
Hong Kong
|
20190124
24 Jan 2019
|
|
No additional comments posted.
|
|
Ligget Krier
|
Financial Market Authority |
Austria
|
20190123
23 Jan 2019
|
|
No additional comments posted.
|
|
www.bhwmanagement.com
|
Financial Market Authority |
Austria
|
20190123
23 Jan 2019
|
|
No additional comments posted.
|
|
Steiner and Partners
|
Financial Market Authority |
Austria
|
20190123
23 Jan 2019
|
|
No additional comments posted.
|
|
BOGNER & CEO
|
Financial Market Authority |
Austria
|
20190123
23 Jan 2019
|
|
No additional comments posted.
|
|
www.grolleralfred.com
|
Financial Market Authority |
Austria
|
20190123
23 Jan 2019
|
|
No additional comments posted.
|
|
Unifunds
|
Securities and Futures Commission |
Hong Kong
|
20190123
23 Jan 2019
|
|
No additional comments posted.
|
|
Swiss Capital Invest Holding Ltd (Clone) trading as Swiss Capital Invest
|
Financial Conduct Authority |
United Kingdom
|
20190122
22 Jan 2019
|
|
Clone of EEA authorised firm
|
|
Churchill Capital Limited
|
Securities and Futures Commission |
Hong Kong
|
20190122
22 Jan 2019
|
|
No additional comments posted.
|
|
Eagle Bit Trader
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20190121
21 Jan 2019
|
|
No additional comments posted.
|
|
BM24 LTD
|
Polish Financial Supervision Authority |
Poland
|
20190121
21 Jan 2019
|
|
No additional comments posted.
|
|
BitMarket24 sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190121
21 Jan 2019
|
|
No additional comments posted.
|
|
UNITED LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190121
21 Jan 2019
|
|
www.goldenkeypro.com
|
|
BALI LIMITED LTD / SOLUTIONSCM LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190121
21 Jan 2019
|
|
http://lockwoodinv.com
|
|
www.royalcryptobanc.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190121
21 Jan 2019
|
|
No additional comments posted.
|
|
SETONIX HOLDING LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190121
21 Jan 2019
|
|
www.obsbit.com/es/
|
|
FX TRADING CORPORATION
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190121
21 Jan 2019
|
|
http://www.fxtradingcorp.com/
|
|
Vanguard Investments (clone of an FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190117
17 Jan 2019
|
|
No additional comments posted.
|
|
FXNobels - https://www.fxnobels.io/
|
Malta Financial Services Authority |
Malta
|
20190117
17 Jan 2019
|
|
The MFSA has published a Warning concerning FXNobels - https://www.fxnobels.io/. The Warning is available in English and Maltese.
more
|
|
FineArtDigital AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190117
17 Jan 2019
|
|
No additional comments posted.
|
|
FxTrade777
|
Financial Conduct Authority |
United Kingdom
|
20190116
16 Jan 2019
|
|
Clone
|
|
Pelham Capital Ltd (clone of an FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190116
16 Jan 2019
|
|
No additional comments posted.
|
|
Bitprofiting
|
Financial Conduct Authority |
United Kingdom
|
20190115
15 Jan 2019
|
|
No additional comments posted.
|
|
Hildebrand Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20190115
15 Jan 2019
|
|
No additional comments posted.
|
|
Skye Tower Momentum Bank
|
Financial Conduct Authority |
United Kingdom
|
20190115
15 Jan 2019
|
|
No additional comments posted.
|
|
Bitcoin FX Option
|
Financial Conduct Authority |
United Kingdom
|
20190115
15 Jan 2019
|
|
Clone
|
|
Dividendcare Limited
|
Securities and Futures Commission |
Hong Kong
|
20190115
15 Jan 2019
|
|
No additional comments posted.
|
|
Jieun Asset Limited
|
Securities and Futures Commission |
Hong Kong
|
20190115
15 Jan 2019
|
|
No additional comments posted.
|
|
Axiom Equity Research Corporation/Axiom Equity
|
Financial Conduct Authority |
United Kingdom
|
20190114
14 Jan 2019
|
|
No additional comments posted.
|
|
MASTERINVERSORES LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
https://senalesinversion.com
|
|
SIGNALS 4TRADE LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
https://senalesforexpro.com
|
|
GRUPO LATINO TRADERS 212 LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
www.senalesbinarias.com
|
|
TRADING PROFESSIONALS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
http://opcionesbinariasinspector.com
|
|
TRADERSGROUP 2020 LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
https://hackingfx.com
|
|
MEDELLÍN INVERSIONES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
https://cinterfor.net
|
|
REDACTORES OSPINA ENTERPRISES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
http://opcionesbinariasanonymous.com
|
|
BROWN FOX LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
www.dax300.com
|
|
COPY REDACTORES ENTERPRISES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
www.opcionesbinariasvigilante.com
more
|
|
INVERSIONESJDK
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
https://criptomonedasvigilante.com
|
|
BLACK PARROT LTD / BLONDE BEAR OU
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
www.tradex1.com
more
|
|
BLACK PARROT LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
www.profxpremium.com
|
|
GARANTIAS MECANICAS E INVERSIONES, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
www.freetotrading.com
more
|
|
CFDPREMIUM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
www.cfdpremium.com
|
|
AIRBIT CLUB
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
www.airbitclub.com
more
|
|
GRUPO GMI, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
http://serviciosdetrading.com
more
|
|
OUTSOURCE YOUR MARKETING NOW LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
www.cryptoiberian.com
|
|
LIVERMORE TRADE, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
No additional comments posted.
|
|
PROFILE ANALYSIS INVESTMENT III, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
No additional comments posted.
|
|
LIFETIME TECHNOLOGY (THAILAND) CO
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
www.cryptominingfarm.io
more
|
|
FF TRADEINVEST COORPORATION
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
No additional comments posted.
|
|
FERRARI FINANCIAL LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
No additional comments posted.
|
|
TRINITY FINANCIAL LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20190114
14 Jan 2019
|
|
No additional comments posted.
|
|
Zhong Yuan Futures
|
Securities and Futures Commission |
Hong Kong
|
20190114
14 Jan 2019
|
|
No additional comments posted.
|
|
易升金融 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20190111
11 Jan 2019
|
|
No additional comments posted.
|
|
http://47.244.126.86
|
Securities and Futures Commission |
Hong Kong
|
20190111
11 Jan 2019
|
|
No additional comments posted.
|
|
www.yocguoji.com
|
Securities and Futures Commission |
Hong Kong
|
20190111
11 Jan 2019
|
|
No additional comments posted.
|
|
Brighter Trade t/a Ingouten OU
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20190110
10 Jan 2019
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Premium Personal Finance sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20190109
09 Jan 2019
|
|
No additional comments posted.
|
|
ACM Alpha Consulting Management EST
|
Polish Financial Supervision Authority |
Poland
|
20190109
09 Jan 2019
|
|
No additional comments posted.
|
|
ACM Alpha Consulting Management AG
|
Polish Financial Supervision Authority |
Poland
|
20190109
09 Jan 2019
|
|
No additional comments posted.
|
|
Warrington Shaw
|
Financial Services and Markets Authority |
Belgium
|
20190108
08 Jan 2019
|
|
warning 'boiler room'
|
|
Resona Dai-Ichi Group
|
Financial Services and Markets Authority |
Belgium
|
20190108
08 Jan 2019
|
|
warning 'boiler room'
|
|
KLM Holdings
|
Financial Services and Markets Authority |
Belgium
|
20190108
08 Jan 2019
|
|
warning 'boiler room'
|
|
Index Financial Group
|
Financial Services and Markets Authority |
Belgium
|
20190108
08 Jan 2019
|
|
warning 'boiler room'
|
|
Cobalt Capital Inc
|
Financial Services and Markets Authority |
Belgium
|
20190108
08 Jan 2019
|
|
warning 'boiler room4
|
|
Asia Associates
|
Financial Services and Markets Authority |
Belgium
|
20190108
08 Jan 2019
|
|
warning 'boiler room'
|
|
Ashcroft Cohen Strategic Capital (ACSC)
|
Financial Services and Markets Authority |
Belgium
|
20190108
08 Jan 2019
|
|
warning boiler room
|
|
List of cryptocurrency trading platforms
|
Financial Services and Markets Authority |
Belgium
|
20190108
08 Jan 2019
|
|
No additional comments posted.
|
|
Ravenstone Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20190108
08 Jan 2019
|
|
No additional comments posted.
|
|
Zimmerman Capial Partners
|
Financial Conduct Authority |
United Kingdom
|
20190107
07 Jan 2019
|
|
No additional comments posted.
|
|
GDM FINANCE SARL
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190107
07 Jan 2019
|
|
No additional comments posted.
|
|
Wintercap SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20190107
07 Jan 2019
|
|
No additional comments posted.
|
|
Dellmont Invest
|
Financial Market Authority |
Austria
|
20190107
07 Jan 2019
|
|
No additional comments posted.
|
|
www.ortnermarcus.com
|
Financial Market Authority |
Austria
|
20190107
07 Jan 2019
|
|
No additional comments posted.
|
|
Akita Matsui Trading/ Nanto Sapporo Brokerage
|
Financial Market Authority |
Austria
|
20190107
07 Jan 2019
|
|
No additional comments posted.
|
|
KBC Securities (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190104
04 Jan 2019
|
|
No additional comments posted.
|
|
Gablee Global Investments Limited (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190104
04 Jan 2019
|
|
No additional comments posted.
|
|
Leleux Associated Brokers (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190104
04 Jan 2019
|
|
No additional comments posted.
|
|
GulfFX (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190104
04 Jan 2019
|
|
No additional comments posted.
|
|
The Pension Assessment Agency Ltd
|
Financial Conduct Authority |
United Kingdom
|
20190104
04 Jan 2019
|
|
No additional comments posted.
|
|
Clarksdale Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20190104
04 Jan 2019
|
|
No additional comments posted.
|
|
TRADER.ONLINE
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20190103
03 Jan 2019
|
|
No additional comments posted.
|
|
Loan For Tenant (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20190103
03 Jan 2019
|
|
clone of FCA authorised firm
|
|
Financial Insolvency Group t/a Overtone Financial
|
Financial Conduct Authority |
United Kingdom
|
20190103
03 Jan 2019
|
|
No additional comments posted.
|
|
Creditstar UK Limited (clone)
|
Financial Conduct Authority |
United Kingdom
|
20190103
03 Jan 2019
|
|
Clone of FCA authorised firm
|
|
Bex Options
|
Financial Conduct Authority |
United Kingdom
|
20190103
03 Jan 2019
|
|
No additional comments posted.
|
|
DWK Financial Home
|
Financial Conduct Authority |
United Kingdom
|
20190103
03 Jan 2019
|
|
Clone
|
|
Tri-Sun Management
|
Finansinspektionen |
Sweden
|
20190102
02 Jan 2019
|
|
No additional comments posted.
|
|
VBM Capital Partners (Clone of EEA Authorised Firm)
|
Financial Conduct Authority |
United Kingdom
|
20181228
28 Dec 2018
|
|
No additional comments posted.
|
|
Rocket Consultant Group
|
Superintendencia del Mercado de Valores |
Panama
|
20181227
27 Dec 2018
|
|
Company not licensed to operate in the Republic of Panama.
|
|
McIntyre Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20181227
27 Dec 2018
|
|
No additional comments posted.
|
|
esepa finance GmbH, Nürnberg, Zweigniederlassung Schweiz, Zürich
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20181220
20 Dec 2018
|
|
No additional comments posted.
|
|
Trade Capital/Trade Capital Investments LLC
|
Central Bank of Ireland |
Ireland
|
20181220
20 Dec 2018
|
|
Trade Capital/Trade Capital Investments LLC is not authorised to provide investment services to persons in Ireland. The firm purports to be based in the Switzerland.
|
|
Sun Capital Limited , www.bitsurge.io and Facebook page "Project Crypto Green Earth"
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20181220
20 Dec 2018
|
|
CONSOB has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree No. 58/1998,
more
|
|
Cobber Finance
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20181220
20 Dec 2018
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
融股通國際（香港）有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20181220
20 Dec 2018
|
|
No additional comments posted.
|
|
Community Trust Bank Group
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20181219
19 Dec 2018
|
|
No additional comments posted.
|
|
Lauder Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20181219
19 Dec 2018
|
|
No additional comments posted.
|
|
www.schurzhelmut.com
|
Financial Market Authority |
Austria
|
20181219
19 Dec 2018
|
|
No additional comments posted.
|
|
Monterry Finance
|
Financial Market Authority |
Austria
|
20181219
19 Dec 2018
|
|
No additional comments posted.
|
|
General Partner Finance Limited
|
Financial Conduct Authority |
United Kingdom
|
20181218
18 Dec 2018
|
|
Scam firm purporting to be working with an FCA authorised Firm.
|
|
Gloucester Group
|
Securities and Futures Commission |
Hong Kong
|
20181218
18 Dec 2018
|
|
No additional comments posted.
|
|
FTSE Russell Index Global Inc.
|
Securities and Futures Commission |
Hong Kong
|
20181218
18 Dec 2018
|
|
No additional comments posted.
|
|
SOFEL S.R.L.
|
Comisión Nacional de Valores |
Argentina
|
20181217
17 Dec 2018
|
|
No additional comments posted.
|
|
Unauthorised websites offering trading in atypical assets
|
Autorité des marchés financiers |
France
|
20181217
17 Dec 2018
|
|
The French AMF has issued a warning regarding several companies proposing atypical investments without being authorized to do so.
|
|
Transpacific Global Equities Ltd
|
Securities and Futures Commission |
Hong Kong
|
20181217
17 Dec 2018
|
|
No additional comments posted.
|
|
Swiss Capital Group Ltd and Swiss Cap Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20181214
14 Dec 2018
|
|
CONSOB has ordered Swiss Capital Group Ltd and Swiss Cap Ltd to cease infringement of art. 18 of the Italian Legislative Decree No. 58/1998,
more
|
|
Unauthorised entites offering trading in cryptoassets
|
Autorité des marchés financiers |
France
|
20181213
13 Dec 2018
|
|
The AMF and the ACPR are publishing a list of new websites and entities offering trading of investments on cryptocurrency derivatives without authorisation in France.
|
|
Insight Managed Funds
|
Financial Conduct Authority |
United Kingdom
|
20181213
13 Dec 2018
|
|
Clone
|
|
Crown Mergers & Acquisitions Inc.
|
Central Bank of Ireland |
Ireland
|
20181213
13 Dec 2018
|
|
Crown Mergers & Acquisitions Inc. is not authorised to provide investment services to persons in Ireland. The firm purports to be based in the USA.
|
|
www.mkinvestmentsllc.com
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20181213
13 Dec 2018
|
|
No additional comments posted.
|
|
PHY Capital Investments Limited
|
Securities and Futures Commission |
Hong Kong
|
20181213
13 Dec 2018
|
|
No additional comments posted.
|
|
Rocket Consultant Group
|
Securities and Futures Commission |
Hong Kong
|
20181213
13 Dec 2018
|
|
No additional comments posted.
|
|
JHCFFX / JHCF / HKJHFX / Juhui Wealth Group
|
Securities and Futures Commission |
Hong Kong
|
20181213
13 Dec 2018
|
|
No additional comments posted.
|
|
Accounts Manager Limited
|
Securities and Futures Commission |
Hong Kong
|
20181213
13 Dec 2018
|
|
No additional comments posted.
|
|
SFM Limited
|
Securities and Futures Commission |
Hong Kong
|
20181213
13 Dec 2018
|
|
No additional comments posted.
|
|
Kingston Trading
|
Securities and Futures Commission |
Hong Kong
|
20181213
13 Dec 2018
|
|
No additional comments posted.
|
|
Westerman Consultancy Ltd
|
Financial Conduct Authority |
United Kingdom
|
20181212
12 Dec 2018
|
|
No additional comments posted.
|
|
Sullivan Seton Murphy Law Firm
|
Financial Conduct Authority |
United Kingdom
|
20181212
12 Dec 2018
|
|
No additional comments posted.
|
|
Century International Bullion Limited
|
Securities and Futures Commission |
Hong Kong
|
20181212
12 Dec 2018
|
|
No additional comments posted.
|
|
Safe Invest Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20181212
12 Dec 2018
|
|
No additional comments posted.
|
|
MAG Asset and www.magasset.com
|
Autorité des marchés financiers |
France
|
20181211
11 Dec 2018
|
|
The French AMF has issued a warning against the activities of MAG Asset, which, via detailed marketing documents and on its website www.magasset.com, is inciting savers to invest in various mutual funds without authorisation.
|
|
Goldoneo (clone)
|
Financial Conduct Authority |
United Kingdom
|
20181210
10 Dec 2018
|
|
No additional comments posted.
|
|
James Hambros (clone)
|
Financial Conduct Authority |
United Kingdom
|
20181210
10 Dec 2018
|
|
No additional comments posted.
|
|
Digital Gold Xchange
|
Financial Conduct Authority |
United Kingdom
|
20181210
10 Dec 2018
|
|
No additional comments posted.
|
|
TradeBNP
|
Financial Conduct Authority |
United Kingdom
|
20181210
10 Dec 2018
|
|
No additional comments posted.
|
|
City Global Trading
|
Financial Conduct Authority |
United Kingdom
|
20181210
10 Dec 2018
|
|
No additional comments posted.
|
|
EFEX Capital Limited
|
Financial Conduct Authority |
United Kingdom
|
20181210
10 Dec 2018
|
|
No additional comments posted.
|
|
Fraudulent use of name of SICAV OFI
|
Autorité des marchés financiers |
France
|
20181207
07 Dec 2018
|
|
The French AMF has published a warning against the fraudulent use of the names and contact details of the Sicav Objectif Finance Investissements (OFI).
|
|
Friedman Associates Ltd
|
Financial Conduct Authority |
United Kingdom
|
20181206
06 Dec 2018
|
|
No additional comments posted.
|
|
Blooming Finance
|
Financial Conduct Authority |
United Kingdom
|
20181205
05 Dec 2018
|
|
No additional comments posted.
|
|
SolutionsCM Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20181205
05 Dec 2018
|
|
CONSOB has ordered the company SolutionsCM Ltd to cease infringement of art. 18 of the Italian Legislative Decree No. 58/1998, consisting of the provision of unauthorised investment services and activities to the Italian public performed by Solutions
more
|
|
Yi Qi Group
|
Securities and Futures Commission |
Hong Kong
|
20181205
05 Dec 2018
|
|
No additional comments posted.
|
|
Top10Coins
|
Financial Market Authority |
Austria
|
20181204
04 Dec 2018
|
|
No additional comments posted.
|
|
Fernpool Holdings Ltd (Clone of Gibraltar Registered Company)
|
Financial Conduct Authority |
United Kingdom
|
20181130
30 Nov 2018
|
|
Clone of Gibraltar Registered Company
|
|
World Advisory Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20181130
30 Nov 2018
|
|
No additional comments posted.
|
|
PVP Research
|
Financial Conduct Authority |
United Kingdom
|
20181130
30 Nov 2018
|
|
No additional comments posted.
|
|
Symmons Advisors LLC
|
Financial Conduct Authority |
United Kingdom
|
20181130
30 Nov 2018
|
|
No additional comments posted.
|
|
Financial Securities Rulemaking Board(FSRB)
|
Financial Supervisory Commission |
Chinese Taipei
|
20181130
30 Nov 2018
|
|
Our records show that Financial Securities Rulemaking Board(FSRB) does not obtain the license from the FSC and is not allowed to conduct securities businesses and offer investment services in Taiwan. Besides, FSRB has not legally registered in Taiwan
more
|
|
Sadler Incorporation Ltd(SI)
|
Financial Supervisory Commission |
Chinese Taipei
|
20181130
30 Nov 2018
|
|
Our records show that Sadler Incorporation Ltd(SI) does not obtain the license from the FSC and is not allowed to conduct securities businesses and offer investment services in Taiwan. Besides, SI has not legally registered in Taiwan.
more
|
|
Structured Strategic Capital(SSC)
|
Financial Supervisory Commission |
Chinese Taipei
|
20181130
30 Nov 2018
|
|
Our records show that Structured Strategic Capital(SSC) does not obtain the license from the FSC and is not allowed to conduct securities businesses and offer investment services in Taiwan. Besides, SSC has not legally registered in Taiwan.
more
|
|
Wainwright Marks Management
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20181129
29 Nov 2018
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Swiss Golden Investment Bank
|
Finansinspektionen |
Sweden
|
20181129
29 Nov 2018
|
|
No additional comments posted.
|
|
Lion Group Holdings Limited
|
Securities and Futures Commission |
Hong Kong
|
20181129
29 Nov 2018
|
|
No additional comments posted.
|
|
Alliance Capital Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20181129
29 Nov 2018
|
|
No additional comments posted.
|
|
Yi Fu International
|
Securities and Futures Commission |
Hong Kong
|
20181129
29 Nov 2018
|
|
No additional comments posted.
|
|
Capital Partner Group (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20181129
29 Nov 2018
|
|
No additional comments posted.
|
|
Savings Options Trading (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20181129
29 Nov 2018
|
|
No additional comments posted.
|
|
Harper Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20181129
29 Nov 2018
|
|
No additional comments posted.
|
|
Citi Security Finance
|
Financial Conduct Authority |
United Kingdom
|
20181129
29 Nov 2018
|
|
No additional comments posted.
|
|
National Refund Group
|
Financial Conduct Authority |
United Kingdom
|
20181129
29 Nov 2018
|
|
No additional comments posted.
|
|
AON Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20181128
28 Nov 2018
|
|
Clone alert
|
|
Knight Investment Limited
|
Securities and Futures Commission |
Hong Kong
|
20181128
28 Nov 2018
|
|
No additional comments posted.
|
|
EXPERT Markets
|
Financial Services Commission |
Mauritius
|
20181128
28 Nov 2018
|
|
No additional comments posted.
|
|
Amon Privat Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20181127
27 Nov 2018
|
|
No additional comments posted.
|
|
Rocket Consultant Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20181127
27 Nov 2018
|
|
No additional comments posted.
|
|
Equistone Volkswagen AG
|
Financial Conduct Authority |
United Kingdom
|
20181127
27 Nov 2018
|
|
No additional comments posted.
|
|
Pay Peq Holdings Oü - Bonum Change Oü (www.toptrade.fm)
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20181127
27 Nov 2018
|
|
CONSOB has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree No. 58/1998,
more
|
|
MCH INVESTMENT STRATEGIES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181127
27 Nov 2018
|
|
Not to be confused with the entity MCH INVESTMENT STRATEGIES, AGENCIA DE VALORES, S.A. (MCH INVESTMENT STRATEGIES) and its web http://mchinvestmentstrategies.mch.es/es/, which is duly registered with the National Securities Market Commission with the
more
|
|
Holding Cohen Corporate International
|
Financial Conduct Authority |
United Kingdom
|
20181126
26 Nov 2018
|
|
No additional comments posted.
|
|
BlackRoack Alliance LP
|
Financial Conduct Authority |
United Kingdom
|
20181126
26 Nov 2018
|
|
No additional comments posted.
|
|
Access Loan
|
Financial Conduct Authority |
United Kingdom
|
20181126
26 Nov 2018
|
|
No additional comments posted.
|
|
Haig, Lafferty & Partners
|
Financial Conduct Authority |
United Kingdom
|
20181126
26 Nov 2018
|
|
No additional comments posted.
|
|
Aaron Brett
|
Securities and Futures Commission |
Hong Kong
|
20181126
26 Nov 2018
|
|
No additional comments posted.
|
|
www.raimyfinance.com
|
Securities and Futures Commission |
Hong Kong
|
20181122
22 Nov 2018
|
|
No additional comments posted.
|
|
Kingsman Investment Limited
|
Securities and Futures Commission |
Hong Kong
|
20181122
22 Nov 2018
|
|
No additional comments posted.
|
|
HK Dudian International Investment Group Co., Limited /HK Gudian International Investment Group Co., Limited
|
Securities and Futures Commission |
Hong Kong
|
20181121
21 Nov 2018
|
|
No additional comments posted.
|
|
World Techno Trade
|
Financial Conduct Authority |
United Kingdom
|
20181120
20 Nov 2018
|
|
No additional comments posted.
|
|
Crypto Exchange Pro
|
Financial Conduct Authority |
United Kingdom
|
20181120
20 Nov 2018
|
|
No additional comments posted.
|
|
A1 Trade
|
Securities and Futures Commission |
Hong Kong
|
20181120
20 Nov 2018
|
|
No additional comments posted.
|
|
DANISPORT SIGLO XXI. S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181119
19 Nov 2018
|
|
http://www.disciplinadetrading.com/
|
|
GUZMAN CARRERAS Y CIA
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181119
19 Nov 2018
|
|
www.socialtradingcommunity.com
|
|
IFD Consulting Limited
|
Securities and Futures Commission |
Hong Kong
|
20181119
19 Nov 2018
|
|
No additional comments posted.
|
|
Safe Deed Limited
|
Securities and Futures Commission |
Hong Kong
|
20181119
19 Nov 2018
|
|
No additional comments posted.
|
|
DB Services Limited / DBS Ltd, HK
|
Securities and Futures Commission |
Hong Kong
|
20181119
19 Nov 2018
|
|
No additional comments posted.
|
|
Bond House Limited
|
Securities and Futures Commission |
Hong Kong
|
20181119
19 Nov 2018
|
|
No additional comments posted.
|
|
Swift Bit Options Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20181116
16 Nov 2018
|
|
No additional comments posted.
|
|
United Financial Commodity Group, operating as United FCG
|
British Columbia Securities Commission |
British Columbia
|
20181116
16 Nov 2018
|
|
No additional comments posted.
|
|
Rocket Consultant Group Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20181116
16 Nov 2018
|
|
No additional comments posted.
|
|
Bernstein Securities
|
Financial Conduct Authority |
United Kingdom
|
20181116
16 Nov 2018
|
|
No additional comments posted.
|
|
Falkenstein und Stein
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20181116
16 Nov 2018
|
|
No additional comments posted.
|
|
Idea Bank SA
|
Polish Financial Supervision Authority |
Poland
|
20181116
16 Nov 2018
|
|
Notification under Article 178 in conjunction with Article 69(2) point 5 and 6 of the Act on trading in financial instruments. Notification made by the KNF.
|
|
Assurance ET Capital Partners (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20181115
15 Nov 2018
|
|
Clone of EEA Authorised firm
|
|
Bitcoin Profit
|
Financial Market Authority |
Austria
|
20181115
15 Nov 2018
|
|
No additional comments posted.
|
|
Minax PTE LTD
|
Financial Market Authority |
Austria
|
20181115
15 Nov 2018
|
|
No additional comments posted.
|
|
www.zongforex.com
|
Securities and Futures Commission |
Hong Kong
|
20181115
15 Nov 2018
|
|
No additional comments posted.
|
|
www.haitong-international.com
|
Securities and Futures Commission |
Hong Kong
|
20181115
15 Nov 2018
|
|
No additional comments posted.
|
|
Jinhui Global International Holdings
|
Securities and Futures Commission |
Hong Kong
|
20181115
15 Nov 2018
|
|
No additional comments posted.
|
|
MRT-Capital
|
Securities and Futures Commission |
Hong Kong
|
20181114
14 Nov 2018
|
|
No additional comments posted.
|
|
Giant Wave Information Technology Limited
|
Securities and Futures Commission |
Hong Kong
|
20181114
14 Nov 2018
|
|
No additional comments posted.
|
|
Betensh Digital Asset Services Limited
|
Securities and Futures Commission |
Hong Kong
|
20181114
14 Nov 2018
|
|
No additional comments posted.
|
|
www.zhongzhendazong.com
|
Securities and Futures Commission |
Hong Kong
|
20181114
14 Nov 2018
|
|
No additional comments posted.
|
|
www.roowap.com
|
Securities and Futures Commission |
Hong Kong
|
20181114
14 Nov 2018
|
|
No additional comments posted.
|
|
Elrics Brothers Ltd, Sanata Partners Eood, Dubai Fxm Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20181113
13 Nov 2018
|
|
CONSOB has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree No. 58/1998, consisting of the provision of unauthorised investment services and activities to the Italian public:
more
|
|
Eurosim SA in liquidazione
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20181113
13 Nov 2018
|
|
No additional comments posted.
|
|
BANCA PRIMUS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181112
12 Nov 2018
|
|
Not to be confused with the entity, BANCO PRIMUS SA, which is duly registered with the Bank of Spain.
|
|
Invest Conseils (Group AIM LTD)
|
Financial Conduct Authority |
United Kingdom
|
20181112
12 Nov 2018
|
|
No additional comments posted.
|
|
Solid Global Investment Limited
|
Securities and Futures Commission |
Hong Kong
|
20181112
12 Nov 2018
|
|
No additional comments posted.
|
|
Global Wealth Asia
|
Securities and Futures Commission |
Hong Kong
|
20181112
12 Nov 2018
|
|
No additional comments posted.
|
|
ECI Luxembourg
|
Autorité des marchés financiers |
France
|
20181109
09 Nov 2018
|
|
The Autorité des marchés financiers (AMF) is warning the public against the activities of ECI Luxembourg and the website www.eci‐luxembourg proposing investment services without being authorized to do so.
|
|
Asic Trader
|
Financial Conduct Authority |
United Kingdom
|
20181109
09 Nov 2018
|
|
No additional comments posted.
|
|
The Reserve Bank of Poland
|
Polish Financial Supervision Authority |
Poland
|
20181109
09 Nov 2018
|
|
No additional comments posted.
|
|
Iride S Marketing Int Sim Spa, Xecryptobank, Fxtpremium, Togacoin Ltd, Risolvo Srl
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20181109
09 Nov 2018
|
|
CONSOB has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree No. 58/1998, consisting of the provision of unauthorised investment services and activities to the Italian public:
more
|
|
Capital Acquisition Group Inc.
|
Central Bank of Ireland |
Ireland
|
20181109
09 Nov 2018
|
|
Capital Acquisition Group Inc. is not authorised to provide investment services to persons in Ireland. The firm purports to be based in the USA.
|
|
Markets Xchange/GCMB Zurix Corporation Limited/Company Marshall Islands
|
Central Bank of Ireland |
Ireland
|
20181108
08 Nov 2018
|
|
Markets Xchange/GCMB Zurix Corporation Limited/Company Marshall Islands is not authorised to provide investment services to persons in Ireland. The firm purports to be based in Ireland, the United Kingdom and the Marshall Islands.
|
|
cryptohedgetrading.com (“Crypto Hedge Trading”)
|
Financial Market Authority |
Austria
|
20181108
08 Nov 2018
|
|
No additional comments posted.
|
|
Nova Invest Group
|
Financial Market Authority |
Austria
|
20181108
08 Nov 2018
|
|
No additional comments posted.
|
|
Blairford Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20181107
07 Nov 2018
|
|
No additional comments posted.
|
|
Solar Securities International Transfer
|
Central Bank of Ireland |
Ireland
|
20181107
07 Nov 2018
|
|
Solar Securities International Transfer is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
JJ Lloyd
|
Securities and Futures Commission |
Hong Kong
|
20181107
07 Nov 2018
|
|
No additional comments posted.
|
|
TSB Wealth
|
Financial Services and Markets Authority |
Belgium
|
20181106
06 Nov 2018
|
|
warning 'boiler room'
|
|
Saga Nagoya Securities
|
Financial Services and Markets Authority |
Belgium
|
20181106
06 Nov 2018
|
|
warning 'boiler room'
|
|
RWM Holdings
|
Financial Services and Markets Authority |
Belgium
|
20181106
06 Nov 2018
|
|
warning 'boiler room'
|
|
Royston Carr Asset Management
|
Financial Services and Markets Authority |
Belgium
|
20181106
06 Nov 2018
|
|
warning 'boiler room'
|
|
Reed Cavendish Wealth Management
|
Financial Services and Markets Authority |
Belgium
|
20181106
06 Nov 2018
|
|
warning 'boiler room'
|
|
Wainwright Marks Management
|
Financial Services and Markets Authority |
Belgium
|
20181106
06 Nov 2018
|
|
warning 'boiler room'
|
|
Nanto Sapporo Brokerage
|
Financial Services and Markets Authority |
Belgium
|
20181106
06 Nov 2018
|
|
warning 'boiler room'
|
|
Hana Shizokua Trading
|
Financial Services and Markets Authority |
Belgium
|
20181106
06 Nov 2018
|
|
warning 'boiler room'
|
|
Fraser Hammond
|
Financial Services and Markets Authority |
Belgium
|
20181106
06 Nov 2018
|
|
warning 'boiler room'
|
|
Daiju Commodity Markets
|
Financial Services and Markets Authority |
Belgium
|
20181106
06 Nov 2018
|
|
warning 'boiler room'
|
|
Aaron Brett
|
Financial Services and Markets Authority |
Belgium
|
20181106
06 Nov 2018
|
|
warning 'boiler room'
|
|
Coleman-Welch Consulting Group LLC
|
Central Bank of Ireland |
Ireland
|
20181106
06 Nov 2018
|
|
Coleman-Welch Consulting Group LLC is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Reg Investment Bank
|
Financial Conduct Authority |
United Kingdom
|
20181106
06 Nov 2018
|
|
Scam Firm
|
|
Fin-TechPrime
|
Financial Conduct Authority |
United Kingdom
|
20181106
06 Nov 2018
|
|
Scam Firm
|
|
Solomon & Kendrick
|
Financial Market Authority |
Austria
|
20181106
06 Nov 2018
|
|
No additional comments posted.
|
|
Markets Profit
|
Financial Market Authority |
Austria
|
20181106
06 Nov 2018
|
|
No additional comments posted.
|
|
manoco.io
|
Financial Market Authority |
Austria
|
20181106
06 Nov 2018
|
|
No additional comments posted.
|
|
Capital Tech LTD.
|
Financial Market Authority |
Austria
|
20181106
06 Nov 2018
|
|
No additional comments posted.
|
|
Ledger Capital Management
|
Financial Market Authority |
Austria
|
20181106
06 Nov 2018
|
|
No additional comments posted.
|
|
Century International Bullion Limited
|
Securities and Futures Commission |
Hong Kong
|
20181106
06 Nov 2018
|
|
No additional comments posted.
|
|
Signature Cards / Gem Finance Cards / Easy Cash Cards
|
Financial Conduct Authority |
United Kingdom
|
20181105
05 Nov 2018
|
|
No additional comments posted.
|
|
Valcapital Ltd.
|
Securities and Futures Commission |
Hong Kong
|
20181105
05 Nov 2018
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
No additional comments posted.
|
|
Financial Global Partners
|
British Columbia Securities Commission |
British Columbia
|
20181102
02 Nov 2018
|
|
No additional comments posted.
|
|
website capitalncl.com
|
Autorité des marchés financiers |
France
|
20181102
02 Nov 2018
|
|
The French AMF has issued a warning regarding a website, capitalncl.cm, offering investments to retail investors in various projects and claiming, falsely, to have a crowdfunding adviser licence.
|
|
Trade Capital Investments LLC t/a Trade Capital
|
Financial Conduct Authority |
United Kingdom
|
20181102
02 Nov 2018
|
|
No additional comments posted.
|
|
Starwood Asset Management Fund (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20181102
02 Nov 2018
|
|
No additional comments posted.
|
|
TRSystem t/a CFDS100
|
Financial Conduct Authority |
United Kingdom
|
20181102
02 Nov 2018
|
|
No additional comments posted.
|
|
Prime by ADS Securities (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20181102
02 Nov 2018
|
|
No additional comments posted.
|
|
Red Arc Global Investments plc (clone of an FCA recognised collective investment scheme)
|
Financial Conduct Authority |
United Kingdom
|
20181102
02 Nov 2018
|
|
No additional comments posted.
|
|
Padmar Investments Limited (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20181102
02 Nov 2018
|
|
No additional comments posted.
|
|
Markets Cube
|
Financial Conduct Authority |
United Kingdom
|
20181101
01 Nov 2018
|
|
No additional comments posted.
|
|
Coinbrokerz
|
Financial Conduct Authority |
United Kingdom
|
20181101
01 Nov 2018
|
|
No additional comments posted.
|
|
Meta Investing
|
Financial Conduct Authority |
United Kingdom
|
20181101
01 Nov 2018
|
|
No additional comments posted.
|
|
Cantor Fitzgerald Bank
|
Financial Conduct Authority |
United Kingdom
|
20181101
01 Nov 2018
|
|
No additional comments posted.
|
|
FSM Smart
|
Autorité des marchés financiers |
Quebec
|
20181101
01 Nov 2018
|
|
No additional comments posted.
|
|
Moretti & Associates
|
Securities and Futures Commission |
Hong Kong
|
20181101
01 Nov 2018
|
|
No additional comments posted.
|
|
FSM Smart LIMITED
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20181031
31 Oct 2018
|
|
No additional comments posted.
|
|
Euro Finance Credit Ltd
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20181031
31 Oct 2018
|
|
No additional comments posted.
|
|
Tianxin /Hong Kong Victory LT Investment Co., Limited
|
Securities and Futures Commission |
Hong Kong
|
20181031
31 Oct 2018
|
|
No additional comments posted.
|
|
www.yingdahkcn.com
|
Securities and Futures Commission |
Hong Kong
|
20181031
31 Oct 2018
|
|
No additional comments posted.
|
|
www.roctec-hk.com
|
Securities and Futures Commission |
Hong Kong
|
20181031
31 Oct 2018
|
|
No additional comments posted.
|
|
Eyeline Business Development and Eyeline Trading
|
British Columbia Securities Commission |
British Columbia
|
20181030
30 Oct 2018
|
|
No additional comments posted.
|
|
Cryptocurrency trading platforms
|
Financial Services and Markets Authority |
Belgium
|
20181030
30 Oct 2018
|
|
warning
|
|
Blue Seal Limited, Jedi Marketing Ltd, www.opcompany.net
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20181030
30 Oct 2018
|
|
CONSOB has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree No. 58/1998, consisting of the provision of unauthorised investment services and activities to the Italian public:
more
|
|
West Capital International
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20181029
29 Oct 2018
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Board LTD (“Bormancorp.com”)
|
Financial Market Authority |
Austria
|
20181029
29 Oct 2018
|
|
No additional comments posted.
|
|
www.yingdazb.com
|
Securities and Futures Commission |
Hong Kong
|
20181029
29 Oct 2018
|
|
No additional comments posted.
|
|
Monterry Finance
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20181026
26 Oct 2018
|
|
No additional comments posted.
|
|
Bormancorp/Board Ltd
|
Central Bank of Ireland |
Ireland
|
20181026
26 Oct 2018
|
|
Bormancorp /Board Ltd is not authorised to provide investment services in Ireland. The firm purports to be based in the Marshall Islands.
|
|
Seveninvest Management Limited
|
Financial Conduct Authority |
United Kingdom
|
20181026
26 Oct 2018
|
|
A clone alert
|
|
Royal London Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20181026
26 Oct 2018
|
|
A clone alert
|
|
Consero Capital Investments Limited
|
Financial Conduct Authority |
United Kingdom
|
20181026
26 Oct 2018
|
|
A clone alert
|
|
List of unauthorised firms
|
Malta Financial Services Authority |
Malta
|
20181025
25 Oct 2018
|
|
No additional comments posted.
|
|
K & R Partners Limited
|
Financial Conduct Authority |
United Kingdom
|
20181025
25 Oct 2018
|
|
A clone alert
|
|
Stamford-Market/Stamford Trading Technologies LP
|
Central Bank of Ireland |
Ireland
|
20181025
25 Oct 2018
|
|
Stamford-Market/Stamford Trading Technologies LP is not authorised to provide investment services in Ireland. The firm purports to be based in Ireland.
|
|
Investment 4 Futures Limited,Tradesfx Limited, Trader Pier Day trading
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20181024
24 Oct 2018
|
|
CONSOB has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree No. 58/1998, consisting of the provision of unauthorised investment services and activities to the Italian public:
more
|
|
Capital Swiss FX
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20181024
24 Oct 2018
|
|
No additional comments posted.
|
|
SCBCUSGROUPS.COM
|
Financial Conduct Authority |
United Kingdom
|
20181023
23 Oct 2018
|
|
A clone alert
|
|
First 4 London t/a Blueskyloans.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20181023
23 Oct 2018
|
|
A clone alert
|
|
HighveldGroup Financial Institution/Highveld Financial Group
|
Central Bank of Ireland |
Ireland
|
20181023
23 Oct 2018
|
|
HighveldGroup Financial Institution/Highveld Financial Group is not authorised to provide investment services in Ireland. The firm purports to be based in Ireland and Turkey.
|
|
TRADEBNP
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181022
22 Oct 2018
|
|
www.tradebnp.com
|
|
Falkenstein und Stein
|
Financial Market Authority |
Austria
|
20181022
22 Oct 2018
|
|
No additional comments posted.
|
|
www.sh-shumei.com.cn
|
Securities and Futures Commission |
Hong Kong
|
20181022
22 Oct 2018
|
|
No additional comments posted.
|
|
Binary Banc & Ten Options
|
British Columbia Securities Commission |
British Columbia
|
20181019
19 Oct 2018
|
|
No additional comments posted.
|
|
Lux Investment Pty Ltd / Luxembourg Offshore Banking
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20181019
19 Oct 2018
|
|
No additional comments posted.
|
|
Global Wealth Asia
|
Financial Conduct Authority |
United Kingdom
|
20181019
19 Oct 2018
|
|
A clone alert
|
|
DBKY Investment Holding Co. Limited
|
Securities and Futures Commission |
Hong Kong
|
20181019
19 Oct 2018
|
|
No additional comments posted.
|
|
Scrilliy
|
Financial Conduct Authority |
United Kingdom
|
20181018
18 Oct 2018
|
|
No additional comments posted.
|
|
WGT S.A.
|
Polish Financial Supervision Authority |
Poland
|
20181018
18 Oct 2018
|
|
A new notification has been submitted by the KNF due to the fact that the entity continues to run its business.
|
|
Usługi Konsultingowe Artur Swendrak
|
Polish Financial Supervision Authority |
Poland
|
20181018
18 Oct 2018
|
|
No additional comments posted.
|
|
International Payments 5000 Ltd.
|
Polish Financial Supervision Authority |
Poland
|
20181018
18 Oct 2018
|
|
No additional comments posted.
|
|
ESTI Group
|
Polish Financial Supervision Authority |
Poland
|
20181018
18 Oct 2018
|
|
No additional comments posted.
|
|
www.merilllynch.cpooo.com
|
Securities and Futures Commission |
Hong Kong
|
20181018
18 Oct 2018
|
|
No additional comments posted.
|
|
Merrill Lynch International (HK) Limited
|
Securities and Futures Commission |
Hong Kong
|
20181018
18 Oct 2018
|
|
No additional comments posted.
|
|
www.mlichk.com
|
Securities and Futures Commission |
Hong Kong
|
20181018
18 Oct 2018
|
|
No additional comments posted.
|
|
Whetu and Partners
|
Czech National Bank |
Czech Republic
|
20181017
17 Oct 2018
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Czech National Bank wishes to point out that the company Whetu and Partners, which is offering investment services at the website http://www.whetupartners.com/, has no authorisation in the Czech Republic.
more
|
|
Cullen Price Group
|
Financial Conduct Authority |
United Kingdom
|
20181017
17 Oct 2018
|
|
No additional comments posted.
|
|
www.avacrypto.com
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20181016
16 Oct 2018
|
|
CONSOB has suspended, for a period of 90 days, pursuant to article 99, paragraph 1, letter b) of the Italian Legislative Decree No. 58/1998, the offer to the Italian public involving the “AvaCrypto Investment Plan” performed without the required auth
more
|
|
Strategic Future Investment Ltd and Sigma Cfd Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20181016
16 Oct 2018
|
|
CONSOB has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree No. 58/1998, consisting of the provision of unauthorised investment services and activities to the Italian public:
more
|
|
Unicominsurance.net
|
Financial Conduct Authority |
United Kingdom
|
20181016
16 Oct 2018
|
|
No additional comments posted.
|
|
Capital Assets UK (Asset Management)
|
Financial Conduct Authority |
United Kingdom
|
20181016
16 Oct 2018
|
|
No additional comments posted.
|
|
LTA Investment & Development
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20181016
16 Oct 2018
|
|
No additional comments posted.
|
|
Gerber and Partners
|
Financial Conduct Authority |
United Kingdom
|
20181015
15 Oct 2018
|
|
No additional comments posted.
|
|
WHITE SQUARE TRADING LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181015
15 Oct 2018
|
|
www.universe-markets.com
more
|
|
SUCABA ENTERPRISE LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181015
15 Oct 2018
|
|
www.centrobanc.com
|
|
STRATEGIC TRADE GLOBAL, S.L. (Murcia)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181015
15 Oct 2018
|
|
No additional comments posted.
|
|
RENTABILIDADENBITCOINS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181015
15 Oct 2018
|
|
www.rentabilidadenbitcoins.com
|
|
MARKETS CUBE GLOBAL LTD / TRADE 24 GLOBAL LTD / PRISMA GLOBAL LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181015
15 Oct 2018
|
|
https://www.marketscube.com/es
|
|
NTMT TRANSFORMATIC MARKETS OU / NORTHSIDE BUSINESS CENTRES / BITCOIN REVOLUTION
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181015
15 Oct 2018
|
|
www.kontofx.com
|
|
FXGIM Global Investment Markets
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181015
15 Oct 2018
|
|
https://www.fxgim.com/es/
|
|
JOSHUA CONSULTING LTD / JOSHUA DEVELOPMENT LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181015
15 Oct 2018
|
|
www.axeinvest.com
|
|
Deutsche Capital Management Ltd (clone)
|
Financial Conduct Authority |
United Kingdom
|
20181012
12 Oct 2018
|
|
Clone of EEA Authorised firm
|
|
DLA Tech LTD
|
Czech National Bank |
Czech Republic
|
20181012
12 Oct 2018
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Czech National Bank wishes to point out that DLA Tech LTD, which gives Sokolovská 131/86, 186 00 Praha 8 as its contact address and offers on its website https://option500.com/ trading in investment instruments via the Option 500 trading platform
more
|
|
365-FX/365BinaryOption/Oproserv Limited/Fintech Software Inc.
|
Central Bank of Ireland |
Ireland
|
20181011
11 Oct 2018
|
|
365-FX/365BinaryOption is not authorised to provide investment services in Ireland. The firm purports to be based in United Kingdom and Marshall Islands.
|
|
GetcoPro
|
Financial Market Authority |
Austria
|
20181011
11 Oct 2018
|
|
No additional comments posted.
|
|
TCGJ International Group Co Limited
|
Securities and Futures Commission |
Hong Kong
|
20181010
10 Oct 2018
|
|
No additional comments posted.
|
|
Tian Cheng International Finance Holding Limited
|
Securities and Futures Commission |
Hong Kong
|
20181010
10 Oct 2018
|
|
No additional comments posted.
|
|
INVESTINGPRO
|
Comisión Nacional del Mercado de Valores |
Spain
|
20181009
09 Oct 2018
|
|
No additional comments posted.
|
|
FXBTG Financial Ltd
|
Central Bank of Ireland |
Ireland
|
20181008
08 Oct 2018
|
|
FXBTG Financial Ltd is not authorised to provide investment services in Ireland. The firm purports to be based in Ireland and New Zealand.
|
|
Fast Loan Credit
|
Financial Conduct Authority |
United Kingdom
|
20181005
05 Oct 2018
|
|
No additional comments posted.
|
|
Franklin Law Office
|
Financial Conduct Authority |
United Kingdom
|
20181005
05 Oct 2018
|
|
No additional comments posted.
|
|
Hollis Kookmin Financial
|
Autorité des marchés financiers |
Quebec
|
20181005
05 Oct 2018
|
|
Hollis Kookmin Financial is reported to have approached investors to offer them investments that would earn them substantial profits. These practices are similar to those generally used as part of a boiler room scheme. The AMF fears that consumers wh
more
|
|
www.096n.com
|
Securities and Futures Commission |
Hong Kong
|
20181005
05 Oct 2018
|
|
No additional comments posted.
|
|
博林國際 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20181005
05 Oct 2018
|
|
No additional comments posted.
|
|
Cathay DuPont
|
Central Bank of Ireland |
Ireland
|
20181004
04 Oct 2018
|
|
Cathay DuPont is not authorised to provide investment services in Ireland. The firm purports to be based in Japan, Taiwan and Luxembourg.
|
|
WiseBanc
|
Financial Conduct Authority |
United Kingdom
|
20181004
04 Oct 2018
|
|
No additional comments posted.
|
|
Finbdo Ltd and Capital Tech Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20181003
03 Oct 2018
|
|
CONSOB has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree No. 58/1998, consisting of the provision of unauthorised investment services and activities to the Italian public:
more
|
|
Wisebanc and Orion Service EOOD
|
Central Bank of Ireland |
Ireland
|
20181002
02 Oct 2018
|
|
Wisebanc and Orion Service EOOD is not authorised to provide investment services in Ireland. The firm purports to be based in Bulgaria.
|
|
Josef-Zeman Financial Solutions (clone)
|
Financial Conduct Authority |
United Kingdom
|
20181002
02 Oct 2018
|
|
Cloning details of EEA authorised firm.
|
|
Pegasus Agriculture (Asia) Limited / Pegasus Food Solutions (Asia) Limited
|
Securities and Futures Commission |
Hong Kong
|
20181002
02 Oct 2018
|
|
No additional comments posted.
|
|
BOX FINANCE
|
Financial Market Authority |
Austria
|
20181001
01 Oct 2018
|
|
No additional comments posted.
|
|
www.shinseisecurities.com
|
Financial Market Authority |
Austria
|
20181001
01 Oct 2018
|
|
No additional comments posted.
|
|
Bridge Road Capital Management
|
Central Bank of Ireland |
Ireland
|
20180928
28 Sep 2018
|
|
Bridge Road Capital Management is not authorized to provide investment services in Ireland. The firm purports to be based in Ireland.
|
|
Interfinancial (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180928
28 Sep 2018
|
|
No additional comments posted.
|
|
Sheridan Wells Advisors
|
Securities and Futures Commission |
Hong Kong
|
20180928
28 Sep 2018
|
|
No additional comments posted.
|
|
Gerber and Partners
|
Financial Market Authority |
Austria
|
20180928
28 Sep 2018
|
|
No additional comments posted.
|
|
ArbitraCoin
|
Financial Market Authority |
Austria
|
20180928
28 Sep 2018
|
|
No additional comments posted.
|
|
www.afbauer.com
|
Financial Market Authority |
Austria
|
20180928
28 Sep 2018
|
|
No additional comments posted.
|
|
For Direct S.R.L.
|
Polish Financial Supervision Authority |
Poland
|
20180927
27 Sep 2018
|
|
No additional comments posted.
|
|
Crypto Options Trader
|
Financial Conduct Authority |
United Kingdom
|
20180926
26 Sep 2018
|
|
No additional comments posted.
|
|
Benchhill Partners Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180926
26 Sep 2018
|
|
No additional comments posted.
|
|
Unauthorised websites offering investment in atypical assets
|
Autorité des marchés financiers |
France
|
20180926
26 Sep 2018
|
|
The French AMF is updating its list of unauthorised websites offering investment in atypical assets.
|
|
Branison Partners (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180925
25 Sep 2018
|
|
Cloning details of EEA authorised firm.
|
|
Unauthorised websites offering Forex investments
|
Autorité des marchés financiers |
France
|
20180925
25 Sep 2018
|
|
The French AMF and ACPR are publishing a list of new websites and entities offering investments on the unregulated foreign exchange (Forex) market in France, without authorisation to do so.
|
|
Mayfield Pension Services
|
Financial Conduct Authority |
United Kingdom
|
20180925
25 Sep 2018
|
|
Please note that the entity above is using the name and address of an UK registered company called Mayfield Pension Services Limited (UK Companies House number 08580724). The UK registered company has no relation with the activities of the unauthoris
more
|
|
Newport Legacy Inc.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180925
25 Sep 2018
|
|
No additional comments posted.
|
|
Trade Capital Investments Ltd
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180925
25 Sep 2018
|
|
No additional comments posted.
|
|
Yamaguchi Laurentian Securities
|
Financial Services and Markets Authority |
Belgium
|
20180924
24 Sep 2018
|
|
warning 'boiler room'
|
|
Sumitomo Gunma Holdings
|
Financial Services and Markets Authority |
Belgium
|
20180924
24 Sep 2018
|
|
warning 'boiler room'
|
|
Shinsei Securities
|
Financial Services and Markets Authority |
Belgium
|
20180924
24 Sep 2018
|
|
warning 'boiler room'
|
|
Kangyo Yokohama Securities
|
Financial Services and Markets Authority |
Belgium
|
20180924
24 Sep 2018
|
|
warning 'boiler room'
|
|
Cruzinvest.uk / Publicprivatebank.com
|
Financial Services and Markets Authority |
Belgium
|
20180924
24 Sep 2018
|
|
warning 'boiler room'
|
|
Asahi Marusan Management
|
Financial Services and Markets Authority |
Belgium
|
20180924
24 Sep 2018
|
|
warning 'boiler room'
|
|
HK Guojing Investment Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20180924
24 Sep 2018
|
|
No additional comments posted.
|
|
CPT Systems / CPT Trading Technologies
|
Financial Conduct Authority |
United Kingdom
|
20180921
21 Sep 2018
|
|
No additional comments posted.
|
|
Alliance Capitals
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180921
21 Sep 2018
|
|
No additional comments posted.
|
|
Unauthorised websites offering binary options
|
Autorité des marchés financiers |
France
|
20180920
20 Sep 2018
|
|
The French AMF is publishing a list of new websites offering binary options trading, for which no authorized investment services provider could be clearly identified.
|
|
PtBanc
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180920
20 Sep 2018
|
|
No additional comments posted.
|
|
Compass Trading Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20180920
20 Sep 2018
|
|
No additional comments posted.
|
|
https://subcap-hk.com
|
Securities and Futures Commission |
Hong Kong
|
20180920
20 Sep 2018
|
|
No additional comments posted.
|
|
Opportunity Trade
|
Securities and Futures Commission |
Hong Kong
|
20180920
20 Sep 2018
|
|
No additional comments posted.
|
|
Woodward Partners
|
Superintendencia del Mercado de Valores |
Panama
|
20180919
19 Sep 2018
|
|
Company not licensed to operate in the Republic of Panama.
more
|
|
Hakopa, Williams and Partners
|
Financial Conduct Authority |
United Kingdom
|
20180919
19 Sep 2018
|
|
No additional comments posted.
|
|
Anahera and Partners
|
Financial Conduct Authority |
United Kingdom
|
20180919
19 Sep 2018
|
|
No additional comments posted.
|
|
Manaia and Partners
|
Financial Conduct Authority |
United Kingdom
|
20180919
19 Sep 2018
|
|
No additional comments posted.
|
|
Anaru and Partners
|
Financial Conduct Authority |
United Kingdom
|
20180919
19 Sep 2018
|
|
No additional comments posted.
|
|
Kauri Ventures
|
Financial Conduct Authority |
United Kingdom
|
20180919
19 Sep 2018
|
|
No additional comments posted.
|
|
Mace, Parry and Associates
|
Financial Conduct Authority |
United Kingdom
|
20180919
19 Sep 2018
|
|
No additional comments posted.
|
|
Taylor, Hodgson and Associates
|
Financial Conduct Authority |
United Kingdom
|
20180919
19 Sep 2018
|
|
No additional comments posted.
|
|
Ally Tuxedo Bank PLC
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180919
19 Sep 2018
|
|
No additional comments posted.
|
|
Guwisdom Financial Holding (HK) Limited
|
Securities and Futures Commission |
Hong Kong
|
20180919
19 Sep 2018
|
|
No additional comments posted.
|
|
BK Coin
|
Financial Conduct Authority |
United Kingdom
|
20180918
18 Sep 2018
|
|
No additional comments posted.
|
|
Local Bitcoin Ltd
|
Financial Conduct Authority |
United Kingdom
|
20180918
18 Sep 2018
|
|
No additional comments posted.
|
|
Debt Cancel UK
|
Financial Conduct Authority |
United Kingdom
|
20180918
18 Sep 2018
|
|
No additional comments posted.
|
|
Benford Heritage Credit Union Limited
|
Financial Conduct Authority |
United Kingdom
|
20180918
18 Sep 2018
|
|
No additional comments posted.
|
|
Züricher Wealth Management AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180918
18 Sep 2018
|
|
No additional comments posted.
|
|
Redcap Management
|
Financial Conduct Authority |
United Kingdom
|
20180914
14 Sep 2018
|
|
No additional comments posted.
|
|
Cooper Consultancy Ltd
|
Financial Conduct Authority |
United Kingdom
|
20180914
14 Sep 2018
|
|
No additional comments posted.
|
|
Kainz Werner Anton
|
Financial Conduct Authority |
United Kingdom
|
20180914
14 Sep 2018
|
|
Clone of FCA Authorised firm
|
|
Apollo Management
|
Financial Conduct Authority |
United Kingdom
|
20180914
14 Sep 2018
|
|
Clone of FCA Authorised firm.
|
|
SophiaTX
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180914
14 Sep 2018
|
|
No additional comments posted.
|
|
RedCap Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180914
14 Sep 2018
|
|
No additional comments posted.
|
|
Capital Finance Group S.à.r.l.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180914
14 Sep 2018
|
|
No additional comments posted.
|
|
Chartered Union Bank of Switzerland
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180914
14 Sep 2018
|
|
No additional comments posted.
|
|
FN CAPITAL AGENTE AUTÔNOMO DE INVESTIMENTOS Ltda
|
Comissão de Valores Mobiliários |
Brazil
|
20180913
13 Sep 2018
|
|
Not authorized by the CVM of Brazil to publicly offer investment opportunities or perform any activities within the securities market by any means, including the website page: http://www.fncapital.com.br
|
|
UK Insurance
|
Financial Conduct Authority |
United Kingdom
|
20180913
13 Sep 2018
|
|
Clone firm details
more
|
|
Index Limited t/a 4XPremium
|
Financial Conduct Authority |
United Kingdom
|
20180913
13 Sep 2018
|
|
Clone firm details:
more
|
|
LDC Crypto (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180913
13 Sep 2018
|
|
No additional comments posted.
|
|
Capital NCL (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180913
13 Sep 2018
|
|
No additional comments posted.
|
|
Global Investment Holdings
|
Securities and Futures Commission |
Hong Kong
|
20180913
13 Sep 2018
|
|
No additional comments posted.
|
|
Bradshaw Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20180912
12 Sep 2018
|
|
Clone of FCA authorised firm.
|
|
HK Easen Financial Holding Co., Limited
|
Securities and Futures Commission |
Hong Kong
|
20180912
12 Sep 2018
|
|
No additional comments posted.
|
|
HongKong Mianmu Share Finance Service Co Limited
|
Securities and Futures Commission |
Hong Kong
|
20180912
12 Sep 2018
|
|
No additional comments posted.
|
|
Spot2trade
|
Financial Services and Markets Authority |
Belgium
|
20180912
12 Sep 2018
|
|
warning Binary Options and Forex Products
|
|
MetaInvesting
|
Financial Services and Markets Authority |
Belgium
|
20180912
12 Sep 2018
|
|
warning Binary Options and Forex Products
|
|
Goprofinance
|
Financial Services and Markets Authority |
Belgium
|
20180912
12 Sep 2018
|
|
warning Binary Options and Forex Products
|
|
Day Dream Investments Ltd (u Trader)
|
Financial Services and Markets Authority |
Belgium
|
20180912
12 Sep 2018
|
|
warning Binary Options and Forex Products
|
|
Blonde Bear OU (TRADEDAX)
|
Financial Services and Markets Authority |
Belgium
|
20180912
12 Sep 2018
|
|
warning Binary Options and Forex Products
|
|
BECFD
|
Financial Services and Markets Authority |
Belgium
|
20180912
12 Sep 2018
|
|
warning Binary Options and Forex Products
|
|
Equity Consultancy / Equity Consultancy Limited
|
Securities and Futures Commission |
Hong Kong
|
20180912
12 Sep 2018
|
|
No additional comments posted.
|
|
Carna Capital (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180911
11 Sep 2018
|
|
No additional comments posted.
|
|
Ruppel Alexander (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180911
11 Sep 2018
|
|
No additional comments posted.
|
|
Brokerhouse Prime
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180911
11 Sep 2018
|
|
No additional comments posted.
|
|
St. James’s Place (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180911
11 Sep 2018
|
|
No additional comments posted.
|
|
UK Financial Services Limited (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180911
11 Sep 2018
|
|
No additional comments posted.
|
|
SP Financial Management Limited t\a Ubanka (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180910
10 Sep 2018
|
|
No additional comments posted.
|
|
Tickeo
|
Financial Conduct Authority |
United Kingdom
|
20180910
10 Sep 2018
|
|
Clone of FCA authorised firm
|
|
Meacock Capital
|
Financial Conduct Authority |
United Kingdom
|
20180910
10 Sep 2018
|
|
Clone of authorised firm
|
|
Gabriela Kouklova
|
Financial Conduct Authority |
United Kingdom
|
20180910
10 Sep 2018
|
|
Clone of EEA authorised firm
|
|
Bidwell Capital Ltd
|
Financial Conduct Authority |
United Kingdom
|
20180910
10 Sep 2018
|
|
Clone of authorised firm.
|
|
Arnold Gert Anton (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180910
10 Sep 2018
|
|
No additional comments posted.
|
|
Cap Governance LLP (clone of a registered SRA firm)
|
Financial Conduct Authority |
United Kingdom
|
20180910
10 Sep 2018
|
|
Please note that the above mentioned unauthorised firm is not linked with Cap Governance LLP who are a registered law firm (SRA registration ID 636782). The Solicitors Regulation Authority have also issued an alert which is available at: http://www.s
more
|
|
Cryptocurrency trading platforms
|
Financial Services and Markets Authority |
Belgium
|
20180910
10 Sep 2018
|
|
Warning
|
|
BECFD Limited
|
Financial Market Authority |
Austria
|
20180907
07 Sep 2018
|
|
No additional comments posted.
|
|
Sucaba Enterprise Ltd. (CentroBanc)
|
Financial Market Authority |
Austria
|
20180907
07 Sep 2018
|
|
No additional comments posted.
|
|
WorldFXM
|
Financial Market Authority |
Austria
|
20180907
07 Sep 2018
|
|
No additional comments posted.
|
|
Richmond Investing (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180906
06 Sep 2018
|
|
No additional comments posted.
|
|
Trade Up Ltd, Preseplio Limited, Boston Merchant Financial Ltd and BMFN limited through
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180906
06 Sep 2018
|
|
CONSOB has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree No. 58/1998, consisting in the offer and performance of investment services and activities to the Italian public:
more
|
|
Sumitomo gunma holdings
|
Danish Financial Supervisory Authority |
Denmark
|
20180906
06 Sep 2018
|
|
It has come to the attention of the Danish Financial Supervisory Authority (FSA) that the company Sumitomo Gunma Holdings is providing investment services in Denmark, without any authorization to operate as an investment firm in Denmark.
|
|
Foreign Equities Board
|
Czech National Bank |
Czech Republic
|
20180906
06 Sep 2018
|
|
The Czech National Bank wishes to point out that the entity called Foreign Equities Board, which presents itself on the website www.feb-gov.org as the supervisor of the financial market in the Czech Republic, has no such position, because the author
more
|
|
Centurio Capital AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180906
06 Sep 2018
|
|
No additional comments posted.
|
|
Our Mortgage Hub (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180905
05 Sep 2018
|
|
No additional comments posted.
|
|
Base Finance (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180905
05 Sep 2018
|
|
No additional comments posted.
|
|
USKAPITAL S.C.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180904
04 Sep 2018
|
|
https://uskapital.net
|
|
GLOBAL FINANCIAL BROKER SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180904
04 Sep 2018
|
|
http://globalfinancialbroker.com
|
|
CRYPTOBANC, LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180904
04 Sep 2018
|
|
www.cryptobanc.net
|
|
TAKEDA PARTNERS, LTD / BANCDEMONARCH, LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180904
04 Sep 2018
|
|
www.bancdemonaco.com
more
|
|
SOLID CAPITAL LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180904
04 Sep 2018
|
|
www.axecc.io/es/
|
|
FX CHOICE
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180904
04 Sep 2018
|
|
https://es.myfxchoice.com/
|
|
SWISS MARKET, BDS MARKETS Ltd.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180904
04 Sep 2018
|
|
https://swissmarkets.com/es/
|
|
Tullett Prebon
|
Financial Conduct Authority |
United Kingdom
|
20180903
03 Sep 2018
|
|
No additional comments posted.
|
|
Hong Kong Rongchuang Financial Investment Limited
|
Securities and Futures Commission |
Hong Kong
|
20180903
03 Sep 2018
|
|
No additional comments posted.
|
|
Astercap Ltd., doing business as Broker Official
|
British Columbia Securities Commission |
British Columbia
|
20180831
31 Aug 2018
|
|
No additional comments posted.
|
|
Radcliffe & Young Asset Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180831
31 Aug 2018
|
|
No additional comments posted.
|
|
Blackwell Asset Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180831
31 Aug 2018
|
|
No additional comments posted.
|
|
Helmuth Newin Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180831
31 Aug 2018
|
|
No additional comments posted.
|
|
TVT Partners / TVT Investment management limited
|
Financial Conduct Authority |
United Kingdom
|
20180830
30 Aug 2018
|
|
No additional comments posted.
|
|
Loantra (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180830
30 Aug 2018
|
|
No additional comments posted.
|
|
Glory Finance (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180830
30 Aug 2018
|
|
No additional comments posted.
|
|
BlackRock Crypto Asset Management Limited (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180830
30 Aug 2018
|
|
No additional comments posted.
|
|
Fintrust Group S.A.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180830
30 Aug 2018
|
|
No additional comments posted.
|
|
ForexGrand, owned by Capital FXG Ltd., operated by Nordic Pearl Limited
|
British Columbia Securities Commission |
British Columbia
|
20180829
29 Aug 2018
|
|
No additional comments posted.
|
|
Ally Tuxedo Bank PLC
|
Financial Conduct Authority |
United Kingdom
|
20180829
29 Aug 2018
|
|
No additional comments posted.
|
|
Ronger Properties Bond/ Ronger Properties (clone of a UK registered company)
|
Financial Conduct Authority |
United Kingdom
|
20180829
29 Aug 2018
|
|
No additional comments posted.
|
|
The Share Centre (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20180829
29 Aug 2018
|
|
No additional comments posted.
|
|
JENNOCRYPTO
|
Financial Services Commission |
Mauritius
|
20180829
29 Aug 2018
|
|
No additional comments posted.
|
|
致遠金融 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20180829
29 Aug 2018
|
|
No additional comments posted.
|
|
Zhong Yuan Futures / ZH Futures (HK) Limited
|
Securities and Futures Commission |
Hong Kong
|
20180829
29 Aug 2018
|
|
No additional comments posted.
|
|
Goldman Investing
|
Securities and Futures Commission |
Hong Kong
|
20180829
29 Aug 2018
|
|
No additional comments posted.
|
|
RACE
|
Comisión Nacional de Valores |
Argentina
|
20180828
28 Aug 2018
|
|
No additional comments posted.
|
|
Patrimoine Gestion Management / PGM
|
Autorité des marchés financiers |
France
|
20180828
28 Aug 2018
|
|
The French AMF and ACPR warn the public against the activities of Patrimoine Gestion Management / PGM which is not authorised to provide investment services or savings accounts in France.
|
|
Coperstone Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20180824
24 Aug 2018
|
|
No additional comments posted.
|
|
廣匯國際金融有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20180824
24 Aug 2018
|
|
No additional comments posted.
|
|
Hongkong Jin Xin
|
Securities and Futures Commission |
Hong Kong
|
20180824
24 Aug 2018
|
|
No additional comments posted.
|
|
Royal Swiss Finance
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180823
23 Aug 2018
|
|
No additional comments posted.
|
|
Skywalker Capital (Hong Kong) Limited
|
Securities and Futures Commission |
Hong Kong
|
20180823
23 Aug 2018
|
|
No additional comments posted.
|
|
Billson Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20180822
22 Aug 2018
|
|
No additional comments posted.
|
|
HongKong International Currency Investment Centre
|
Securities and Futures Commission |
Hong Kong
|
20180822
22 Aug 2018
|
|
No additional comments posted.
|
|
Generali Brokers / Generali France / Assicurazioni Generali S.p.A. (Clone of EEA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20180822
22 Aug 2018
|
|
Cloning details of EEA authorised firms
|
|
ICIC International
|
Securities and Futures Commission |
Hong Kong
|
20180822
22 Aug 2018
|
|
No additional comments posted.
|
|
Rothstein, Mandl & Partner AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180821
21 Aug 2018
|
|
No additional comments posted.
|
|
Radcliffe & Young Asset Management / Radcliffe and Young
|
Financial Conduct Authority |
United Kingdom
|
20180821
21 Aug 2018
|
|
No additional comments posted.
|
|
Investors Europe Stock Brokers Mauritius
|
Financial Services Commission |
Mauritius
|
20180821
21 Aug 2018
|
|
No additional comments posted.
|
|
www.wondercapitalgrouplimited.com
|
Securities and Futures Commission |
Hong Kong
|
20180821
21 Aug 2018
|
|
No additional comments posted.
|
|
Schroeder Law Firm
|
Financial Conduct Authority |
United Kingdom
|
20180816
16 Aug 2018
|
|
No additional comments posted.
|
|
ArielBank PLC
|
Financial Conduct Authority |
United Kingdom
|
20180816
16 Aug 2018
|
|
No additional comments posted.
|
|
GoldTech Media Services OU t/a Glenmore Investments
|
Financial Conduct Authority |
United Kingdom
|
20180816
16 Aug 2018
|
|
No additional comments posted.
|
|
Capital Finance Group Limited (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180815
15 Aug 2018
|
|
No additional comments posted.
|
|
榮欣財富 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20180815
15 Aug 2018
|
|
No additional comments posted.
|
|
Kenilworth Mergers & Acquisitions Inc.
|
Central Bank of Ireland |
Ireland
|
20180814
14 Aug 2018
|
|
Kenilworth Mergers & Acquisitions Inc. is not authorized to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
The Wealth Management Services Group (WMS)
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180814
14 Aug 2018
|
|
No additional comments posted.
|
|
Ardent Asset Advisors LP (clone of US entity)
|
Financial Conduct Authority |
United Kingdom
|
20180814
14 Aug 2018
|
|
No additional comments posted.
|
|
8888Markets
|
Central Bank of Ireland |
Ireland
|
20180813
13 Aug 2018
|
|
8888Markets is not authorized to provide investment services in Ireland. The firm purports to be based in Ireland.
|
|
Cooper & Sloane Associates
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180810
10 Aug 2018
|
|
No additional comments posted.
|
|
Anton Falk Capital Partners (clone of EEA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20180810
10 Aug 2018
|
|
No additional comments posted.
|
|
MARVIN PAYMENTS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180809
09 Aug 2018
|
|
www.marvinbank.com
more
|
|
MARVIN MANAGEMENT, S.L
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180809
09 Aug 2018
|
|
No additional comments posted.
|
|
THINKING AHEAD / KITANO
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180809
09 Aug 2018
|
|
www.fxmarketpro.com
|
|
WWW.CFDSTOCKS.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180809
09 Aug 2018
|
|
No additional comments posted.
|
|
PENTACLE GROUP LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180809
09 Aug 2018
|
|
No additional comments posted.
|
|
FUENGIROLA FINANS, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180809
09 Aug 2018
|
|
No additional comments posted.
|
|
HongKong Carson Global Co Limited
|
Securities and Futures Commission |
Hong Kong
|
20180809
09 Aug 2018
|
|
No additional comments posted.
|
|
Horst Weinmann (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180808
08 Aug 2018
|
|
No additional comments posted.
|
|
Good Crypto (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180808
08 Aug 2018
|
|
No additional comments posted.
|
|
Lindenthal Capital Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180808
08 Aug 2018
|
|
No additional comments posted.
|
|
Lindenthal Loyal Assets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180808
08 Aug 2018
|
|
No additional comments posted.
|
|
Preston Management (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180807
07 Aug 2018
|
|
No additional comments posted.
|
|
Loans Hub (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180807
07 Aug 2018
|
|
No additional comments posted.
|
|
Hero Wave (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180807
07 Aug 2018
|
|
No additional comments posted.
|
|
Fair Oaks Crypto (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180807
07 Aug 2018
|
|
No additional comments posted.
|
|
Classic Brand Europe (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180807
07 Aug 2018
|
|
No additional comments posted.
|
|
CRYPTO SECURE MARKETS
|
Financial Services Commission |
Mauritius
|
20180807
07 Aug 2018
|
|
No additional comments posted.
|
|
Thinking Ahead Ltd, Kitano Ltd, Madar Partners Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180807
07 Aug 2018
|
|
No additional comments posted.
|
|
www.opcompany.net, Risolvo Srl, Questra World, Atlantic Global Asset Management, www.segnalivincenti.net
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180807
07 Aug 2018
|
|
CONSOB has:
more
|
|
Credilan Benelux
|
Financial Services and Markets Authority |
Belgium
|
20180807
07 Aug 2018
|
|
Warning
|
|
Stubblefield Advisors LLC
|
Financial Conduct Authority |
United Kingdom
|
20180806
06 Aug 2018
|
|
No additional comments posted.
|
|
Chimera Investment Corporation
|
Financial Conduct Authority |
United Kingdom
|
20180806
06 Aug 2018
|
|
No additional comments posted.
|
|
Sierra Holdings Limited
|
Securities and Futures Commission |
Hong Kong
|
20180806
06 Aug 2018
|
|
No additional comments posted.
|
|
Capricorn Finance
|
Financial Conduct Authority |
United Kingdom
|
20180804
04 Aug 2018
|
|
Clone of authorised firm
|
|
Eagle Investment Global Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20180803
03 Aug 2018
|
|
No additional comments posted.
|
|
MotherHouse GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180803
03 Aug 2018
|
|
No additional comments posted.
|
|
Dassets Club
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20180802
02 Aug 2018
|
|
Content in Portuguese
|
|
COINOPTIONS TRADE
|
Financial Services Commission |
Mauritius
|
20180802
02 Aug 2018
|
|
No additional comments posted.
|
|
RENATO GARCIA
|
Financial Services Commission |
Mauritius
|
20180802
02 Aug 2018
|
|
No additional comments posted.
|
|
Apexcoins
|
Financial Services Commission |
Mauritius
|
20180802
02 Aug 2018
|
|
No additional comments posted.
|
|
Utrade
|
Financial Conduct Authority |
United Kingdom
|
20180801
01 Aug 2018
|
|
No additional comments posted.
|
|
BCG Wealth Group
|
Financial Conduct Authority |
United Kingdom
|
20180801
01 Aug 2018
|
|
No additional comments posted.
|
|
Hong Kong Enterprises Equity Trading Centre Co, Limited
|
Securities and Futures Commission |
Hong Kong
|
20180801
01 Aug 2018
|
|
No additional comments posted.
|
|
www.zygjif.com
|
Securities and Futures Commission |
Hong Kong
|
20180801
01 Aug 2018
|
|
No additional comments posted.
|
|
Cryptofinance
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180801
01 Aug 2018
|
|
No additional comments posted.
|
|
VBM CAPITAL PARTNERS (Clone of FCA Authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20180731
31 Jul 2018
|
|
No additional comments posted.
|
|
www.donsenhk.com
|
Securities and Futures Commission |
Hong Kong
|
20180730
30 Jul 2018
|
|
No additional comments posted.
|
|
Altera Capital Limited
|
Securities and Futures Commission |
Hong Kong
|
20180730
30 Jul 2018
|
|
No additional comments posted.
|
|
SkyWay Capital
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180730
30 Jul 2018
|
|
CONSOB adopted two prohibition measures for advertising activities relating to the public offer of SkyWay Capital shares carried out in infringement of article 101 of the Italian Legislative Decree No. 58/1998.
more
|
|
Thinking Ahead Ltd, Kitano Ltd, Madar Partners Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180730
30 Jul 2018
|
|
CONSOB has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree No. 58/1998, consisting in the
more
|
|
Valoralta S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20180727
27 Jul 2018
|
|
Company not licensed to operate in the Republic of Panama.
|
|
Lindmand Group
|
Financial Conduct Authority |
United Kingdom
|
20180727
27 Jul 2018
|
|
No additional comments posted.
|
|
ABBY Finance Limited
|
Securities and Futures Commission |
Hong Kong
|
20180727
27 Jul 2018
|
|
No additional comments posted.
|
|
Xinghui International Development Co Limited
|
Securities and Futures Commission |
Hong Kong
|
20180727
27 Jul 2018
|
|
No additional comments posted.
|
|
Moneyfall (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180726
26 Jul 2018
|
|
No additional comments posted.
|
|
My Personal Loan (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180726
26 Jul 2018
|
|
No additional comments posted.
|
|
En Zheng Gold New Zealand Limited
|
Securities and Futures Commission |
Hong Kong
|
20180726
26 Jul 2018
|
|
No additional comments posted.
|
|
Trade Com Limited through www.cryptofxonline.com website
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180726
26 Jul 2018
|
|
No additional comments posted.
|
|
Rbinary Limited through website www.rbinary.com
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180726
26 Jul 2018
|
|
No additional comments posted.
|
|
Solid Capital Ltd, Vortex Capital Ltd, MarketTM Ltd, Ft Global Services Ltd, Ft Global Ltd and Lordos Enterprise Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180726
26 Jul 2018
|
|
CONSOB has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree N. 58/1998, consisting in the provision of unauthorised investment services and activities to the Italian public:
more
|
|
Marantino Capital Ltd - OnlyTrades – http://www.onlytrades.com/
|
Malta Financial Services Authority |
Malta
|
20180726
26 Jul 2018
|
|
No additional comments posted.
|
|
iqtrade24, operated by B.O. Tradefinancials Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20180724
24 Jul 2018
|
|
No additional comments posted.
|
|
www.dtgj.com.hk / www.qh.svrvip.com
|
Securities and Futures Commission |
Hong Kong
|
20180724
24 Jul 2018
|
|
No additional comments posted.
|
|
Instafx24 LTD
|
Financial Market Authority |
Austria
|
20180724
24 Jul 2018
|
|
No additional comments posted.
|
|
www.kainzwa.com
|
Financial Market Authority |
Austria
|
20180724
24 Jul 2018
|
|
No additional comments posted.
|
|
MFSA
|
Malta Financial Services Authority |
Malta
|
20180724
24 Jul 2018
|
|
The Malta Financial Services Authority (“MFSA”) has become aware of an entity calling itself
more
|
|
Redbrook Financial Management
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180723
23 Jul 2018
|
|
No additional comments posted.
|
|
General Asset Management (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20180723
23 Jul 2018
|
|
No additional comments posted.
|
|
Fieldbase Investments Ltd. t/a Fieldbase Wealth
|
Financial Conduct Authority |
United Kingdom
|
20180723
23 Jul 2018
|
|
No additional comments posted.
|
|
Leadernet OU t/a FXLeader
|
Financial Conduct Authority |
United Kingdom
|
20180723
23 Jul 2018
|
|
No additional comments posted.
|
|
Huaxin Capital
|
Securities and Futures Commission |
Hong Kong
|
20180720
20 Jul 2018
|
|
No additional comments posted.
|
|
Big Boss Holdings Company Limited / BX Financial Group / Big Boss Financial Limited
|
Securities and Futures Commission |
Hong Kong
|
20180720
20 Jul 2018
|
|
No additional comments posted.
|
|
Dynamic Swift Funding Bank Cooperation
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180719
19 Jul 2018
|
|
No additional comments posted.
|
|
Worldwide Financing Group
|
Financial Services and Markets Authority |
Belgium
|
20180719
19 Jul 2018
|
|
warning 'boiler room'
|
|
Sky Marketing
|
Financial Services and Markets Authority |
Belgium
|
20180719
19 Jul 2018
|
|
warning 'boiler room'
|
|
Morgan Newfield
|
Financial Services and Markets Authority |
Belgium
|
20180719
19 Jul 2018
|
|
warning 'boiler room'
|
|
Mizuho DKB Brokerage/SDD International
|
Financial Services and Markets Authority |
Belgium
|
20180719
19 Jul 2018
|
|
warning 'boiler room'
|
|
Evans Chamberlain
|
Financial Services and Markets Authority |
Belgium
|
20180719
19 Jul 2018
|
|
warning 'boiler room'
|
|
Denman-Brys Group
|
Financial Services and Markets Authority |
Belgium
|
20180719
19 Jul 2018
|
|
warning 'boiler room'
|
|
Akita Matsui Trading
|
Financial Services and Markets Authority |
Belgium
|
20180719
19 Jul 2018
|
|
warning 'boiler room'
|
|
GTX Options
|
Financial Services and Markets Authority |
Belgium
|
20180719
19 Jul 2018
|
|
Warning 'Binary Options, Forex Products and CFDs'
|
|
Cryptocurrency trading platforms
|
Financial Services and Markets Authority |
Belgium
|
20180719
19 Jul 2018
|
|
warning
|
|
Hong Kong Capital Group
|
Securities and Futures Commission |
Hong Kong
|
20180717
17 Jul 2018
|
|
No additional comments posted.
|
|
CFD Royal (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180716
16 Jul 2018
|
|
No additional comments posted.
|
|
Xtraderfx
|
Financial Conduct Authority |
United Kingdom
|
20180716
16 Jul 2018
|
|
No additional comments posted.
|
|
Talbot Review Centre Limited
|
Financial Conduct Authority |
United Kingdom
|
20180716
16 Jul 2018
|
|
No additional comments posted.
|
|
Rowlands Advisors LLC
|
Financial Conduct Authority |
United Kingdom
|
20180713
13 Jul 2018
|
|
No additional comments posted.
|
|
Oakfair Investment
|
Australian Securities and Investments Commission |
Australia
|
20180713
13 Jul 2018
|
|
No additional comments posted.
|
|
The Adam Group (AKA, Adam International Trading Group Ltd, Adams Group and Adams Group International)
|
Australian Securities and Investments Commission |
Australia
|
20180713
13 Jul 2018
|
|
Link for Adam International Trading Group Ltd:
more
|
|
Capital Invest Solutions
|
Australian Securities and Investments Commission |
Australia
|
20180713
13 Jul 2018
|
|
No additional comments posted.
|
|
PRU Structured Assets
|
Australian Securities and Investments Commission |
Australia
|
20180713
13 Jul 2018
|
|
NB: This entity is not connected to, and should not be confused with, Prudential Financial Inc or its subsidiary, Prudential Securities Structured Assets (PSSA)
|
|
CPT Trading Technologies Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180712
12 Jul 2018
|
|
No additional comments posted.
|
|
McGarry Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20180712
12 Jul 2018
|
|
No additional comments posted.
|
|
Trade WFX
|
Financial Conduct Authority |
United Kingdom
|
20180712
12 Jul 2018
|
|
No additional comments posted.
|
|
Agronomix and Agronomix France
|
Autorité des marchés financiers |
France
|
20180712
12 Jul 2018
|
|
AMF France warning regarding the activities of AGRONOMIX and its subsidiary AGRONOMIX FRANCE.
|
|
www.helmutkob.com
|
Financial Market Authority |
Austria
|
20180712
12 Jul 2018
|
|
No additional comments posted.
|
|
Arcadia Services
|
Financial Market Authority |
Austria
|
20180712
12 Jul 2018
|
|
No additional comments posted.
|
|
Noble Global Investments
|
Polish Financial Supervision Authority |
Poland
|
20180711
11 Jul 2018
|
|
No additional comments posted.
|
|
Philson Spółdzielnia Inwestycyjna
|
Polish Financial Supervision Authority |
Poland
|
20180711
11 Jul 2018
|
|
No additional comments posted.
|
|
HossaFX
|
Polish Financial Supervision Authority |
Poland
|
20180711
11 Jul 2018
|
|
No additional comments posted.
|
|
Wallace Braxton Credit Union Limited
|
Financial Conduct Authority |
United Kingdom
|
20180711
11 Jul 2018
|
|
No additional comments posted.
|
|
UK Loans
|
Financial Conduct Authority |
United Kingdom
|
20180711
11 Jul 2018
|
|
No additional comments posted.
|
|
Besla Investments
|
Financial Conduct Authority |
United Kingdom
|
20180711
11 Jul 2018
|
|
No additional comments posted.
|
|
Lexin International Futures (Hong Kong) Co Limited
|
Securities and Futures Commission |
Hong Kong
|
20180711
11 Jul 2018
|
|
No additional comments posted.
|
|
Olympia Capital Exchange
|
Superintendencia del Mercado de Valores |
Panama
|
20180710
10 Jul 2018
|
|
Company not registered
|
|
Coreserv Financial Services
|
Financial Conduct Authority |
United Kingdom
|
20180710
10 Jul 2018
|
|
No additional comments posted.
|
|
Easy daily loan (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180710
10 Jul 2018
|
|
No additional comments posted.
|
|
Cash Plus Xpress (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180710
10 Jul 2018
|
|
No additional comments posted.
|
|
Tauro Capital Market Limited/ Tauro Pro Trade
|
Securities and Futures Commission |
Hong Kong
|
20180710
10 Jul 2018
|
|
No additional comments posted.
|
|
Howard Capital Management Pty Ltd
|
Securities and Futures Commission |
Hong Kong
|
20180710
10 Jul 2018
|
|
No additional comments posted.
|
|
Yiguang Group (HK) Ltd
|
Securities and Futures Commission |
Hong Kong
|
20180710
10 Jul 2018
|
|
No additional comments posted.
|
|
Hong Kong Rongxin Futures Investment Co Limited
|
Securities and Futures Commission |
Hong Kong
|
20180710
10 Jul 2018
|
|
No additional comments posted.
|
|
Cooper & Sloane Associates / Cooper and Sloane
|
Financial Conduct Authority |
United Kingdom
|
20180709
09 Jul 2018
|
|
No additional comments posted.
|
|
MED REALTY CONSULTING
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180709
09 Jul 2018
|
|
No additional comments posted.
|
|
Blue Trading
|
British Columbia Securities Commission |
British Columbia
|
20180706
06 Jul 2018
|
|
No additional comments posted.
|
|
East Asia Global International Futures (Hong Kong) Limited
|
Securities and Futures Commission |
Hong Kong
|
20180706
06 Jul 2018
|
|
No additional comments posted.
|
|
WAISGOLD CAPITAL
|
Comisión Nacional de Valores |
Argentina
|
20180705
05 Jul 2018
|
|
No additional comments posted.
|
|
Tait Investment Group
|
Financial Conduct Authority |
United Kingdom
|
20180705
05 Jul 2018
|
|
No additional comments posted.
|
|
Morgan Wealth Advisory
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180705
05 Jul 2018
|
|
No additional comments posted.
|
|
Preussen Wealth Prime Brokerage
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180705
05 Jul 2018
|
|
No additional comments posted.
|
|
Preussen Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20180704
04 Jul 2018
|
|
No additional comments posted.
|
|
Capital Currency Trade
|
British Columbia Securities Commission |
British Columbia
|
20180703
03 Jul 2018
|
|
No additional comments posted.
|
|
Alliance Trust Plc
|
Financial Conduct Authority |
United Kingdom
|
20180703
03 Jul 2018
|
|
Clone of FCA Authorised firm.
|
|
FastUKLoan
|
Financial Conduct Authority |
United Kingdom
|
20180703
03 Jul 2018
|
|
Clone of FCA Authorised firm.
|
|
Central Trust (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180703
03 Jul 2018
|
|
No additional comments posted.
|
|
Helmut Kob (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180703
03 Jul 2018
|
|
No additional comments posted.
|
|
Loan Match (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180703
03 Jul 2018
|
|
No additional comments posted.
|
|
Business & Solution
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180703
03 Jul 2018
|
|
No additional comments posted.
|
|
Zhongtian Financial International Limited
|
Securities and Futures Commission |
Hong Kong
|
20180703
03 Jul 2018
|
|
No additional comments posted.
|
|
Fraudulent use of AMF's name
|
Autorité des marchés financiers |
France
|
20180703
03 Jul 2018
|
|
Retail investors have reported to us that they have received messages from a person who claims to be representing the AMF in an investigation of a trading platform.
more
|
|
Nomura and Partners (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180702
02 Jul 2018
|
|
No additional comments posted.
|
|
Swiss Asset Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180702
02 Jul 2018
|
|
No additional comments posted.
|
|
Independent Brokers LLC
|
Australian Securities and Investments Commission |
Australia
|
20180702
02 Jul 2018
|
|
No additional comments posted.
|
|
HQ Broker
|
Australian Securities and Investments Commission |
Australia
|
20180702
02 Jul 2018
|
|
No additional comments posted.
|
|
Marc Hermann Wealth Management
|
Australian Securities and Investments Commission |
Australia
|
20180702
02 Jul 2018
|
|
Link to the FCA Investor Alert Portal (referenced on ASIC site)
more
|
|
Ashton Cole Global
|
Australian Securities and Investments Commission |
Australia
|
20180702
02 Jul 2018
|
|
No additional comments posted.
|
|
MultiplyMarket
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180629
29 Jun 2018
|
|
No additional comments posted.
|
|
Everett Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20180629
29 Jun 2018
|
|
No additional comments posted.
|
|
Crystal Century Investment
|
Securities and Futures Commission |
Hong Kong
|
20180628
28 Jun 2018
|
|
No additional comments posted.
|
|
中陽期貨 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20180628
28 Jun 2018
|
|
No additional comments posted.
|
|
中陽證券期貨 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20180628
28 Jun 2018
|
|
No additional comments posted.
|
|
Kamansen International Group / Kaimamson International Group / Hongkong Kaimanson Ltd
|
Securities and Futures Commission |
Hong Kong
|
20180628
28 Jun 2018
|
|
No additional comments posted.
|
|
Crown Finance
|
Financial Conduct Authority |
United Kingdom
|
20180627
27 Jun 2018
|
|
Clone of FCA authorised firm
|
|
Satis Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20180627
27 Jun 2018
|
|
Clone of FCA authorised firm
|
|
BlueCrest Capital UK Ltd (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20180627
27 Jun 2018
|
|
No additional comments posted.
|
|
CT-Trade
|
Financial Conduct Authority |
United Kingdom
|
20180627
27 Jun 2018
|
|
Clone of FCA authorised firm
|
|
Evefx (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180627
27 Jun 2018
|
|
No additional comments posted.
|
|
Metro Loans UK
|
Financial Conduct Authority |
United Kingdom
|
20180626
26 Jun 2018
|
|
No additional comments posted.
|
|
Prime Coins Trading
|
Financial Conduct Authority |
United Kingdom
|
20180626
26 Jun 2018
|
|
No additional comments posted.
|
|
CFD Corporate
|
Financial Conduct Authority |
United Kingdom
|
20180626
26 Jun 2018
|
|
No additional comments posted.
|
|
Fah Investment Ltd, Cfx Point Ltd, Ajn Trade Ltd, Light Media Ltd, Capital Tech Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180625
25 Jun 2018
|
|
Consob has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree N. 58/1998, consisting of the
more
|
|
Maltese Capital Services AG Ltd
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180625
25 Jun 2018
|
|
No additional comments posted.
|
|
Future Messenger AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180625
25 Jun 2018
|
|
No additional comments posted.
|
|
Skye Security International
|
Isle of Man Financial Services Authority |
Isle of Man
|
20180625
25 Jun 2018
|
|
Website representing Skye Security International who offer financial services are using the personal profiles of senior members of the Isle of Man Financial Services Authority to try and legitimize their position
|
|
Juwelz Holdings Limited
|
Isle of Man Financial Services Authority |
Isle of Man
|
20180625
25 Jun 2018
|
|
Juwelz Holdings Limited falsely claiming to have links to the Isle of Man whilst holding out as offering investment services
|
|
Al-Khawam Investment Limited
|
Isle of Man Financial Services Authority |
Isle of Man
|
20180625
25 Jun 2018
|
|
Cloned website falsely claiming to have registered office in Isle of Man and offering investment services
|
|
TotallyMoney (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180622
22 Jun 2018
|
|
No additional comments posted.
|
|
PGM Patrimoine
|
Financial Conduct Authority |
United Kingdom
|
20180622
22 Jun 2018
|
|
No additional comments posted.
|
|
Arden & Partners (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180622
22 Jun 2018
|
|
No additional comments posted.
|
|
ROSH INVERSORES ARGENTINA S.A.
|
Comisión Nacional de Valores |
Argentina
|
20180622
22 Jun 2018
|
|
No additional comments posted.
|
|
Unauthorised websites offering Forex investments
|
Autorité des marchés financiers |
France
|
20180622
22 Jun 2018
|
|
The French AMF and ACPR are publishing a list of new websites and entities offering investments on the unregulated foreign exchange (Forex) market in France, without authorisation to do so.
|
|
Storm Finance Limited
|
Financial Conduct Authority |
United Kingdom
|
20180622
22 Jun 2018
|
|
No additional comments posted.
|
|
Coin Boost Inc.
|
Financial Conduct Authority |
United Kingdom
|
20180622
22 Jun 2018
|
|
No additional comments posted.
|
|
EU-Capital
|
Financial Conduct Authority |
United Kingdom
|
20180622
22 Jun 2018
|
|
No additional comments posted.
|
|
Publiczny Kapital Oszczednosci (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20180622
22 Jun 2018
|
|
No additional comments posted.
|
|
Privé Global Management Services Ltd. (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20180622
22 Jun 2018
|
|
No additional comments posted.
|
|
Loans on Benefits PVT Ltd. t/a Loans on Benefits
|
Financial Conduct Authority |
United Kingdom
|
20180622
22 Jun 2018
|
|
No additional comments posted.
|
|
https://sknsecurities.com
|
Securities and Futures Commission |
Hong Kong
|
20180622
22 Jun 2018
|
|
No additional comments posted.
|
|
Wayne Global Limited
|
Securities and Futures Commission |
Hong Kong
|
20180622
22 Jun 2018
|
|
No additional comments posted.
|
|
Xiang Gang Kai Si Bo
|
Securities and Futures Commission |
Hong Kong
|
20180622
22 Jun 2018
|
|
No additional comments posted.
|
|
Vortex Assets - Black Parrot Limited
|
Polish Financial Supervision Authority |
Poland
|
20180621
21 Jun 2018
|
|
No additional comments posted.
|
|
MIA Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20180621
21 Jun 2018
|
|
No additional comments posted.
|
|
Apex Financial Group Ltd / Apex F G Ltd
|
Financial Conduct Authority |
United Kingdom
|
20180621
21 Jun 2018
|
|
No additional comments posted.
|
|
www.hfhqtz.com
|
Securities and Futures Commission |
Hong Kong
|
20180621
21 Jun 2018
|
|
No additional comments posted.
|
|
W.G. Consultant Limited
|
Securities and Futures Commission |
Hong Kong
|
20180621
21 Jun 2018
|
|
No additional comments posted.
|
|
Joshua Partners Eood, Joshua Development Ltd, 100XFX Ltd, AZ Technology Ltd, Sucaba Enterprise Ltd, Joshua Partners Eood, Thinking Ahead Ltd, Takeda Partners Ltd, Revolution Markets LP and Fin Group Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180621
21 Jun 2018
|
|
Consob has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree N. 58/1998, consisting of the offer and performance of investment services and activities to the Italian public, put in place by:
more
|
|
Tricom Securities Limited
|
Securities and Futures Commission |
Hong Kong
|
20180621
21 Jun 2018
|
|
No additional comments posted.
|
|
Kartarie
|
Securities and Futures Commission |
Hong Kong
|
20180621
21 Jun 2018
|
|
No additional comments posted.
|
|
The Kimble, May and Bains Group
|
Securities and Futures Commission |
Hong Kong
|
20180621
21 Jun 2018
|
|
No additional comments posted.
|
|
伯克國際 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20180621
21 Jun 2018
|
|
No additional comments posted.
|
|
Gulf FX Investments / Gulf FX Ltd
|
Securities and Futures Commission |
Hong Kong
|
20180621
21 Jun 2018
|
|
No additional comments posted.
|
|
Bristol Consulting FX
|
Ontario Securities Commission |
Ontario
|
20180620
20 Jun 2018
|
|
Bristol Consulting FX is not registered in Ontario to engage in the business of trading in securities.
|
|
Celestial Trading Ltd / Tradovest
|
Financial Market Authority |
Austria
|
20180620
20 Jun 2018
|
|
No additional comments posted.
|
|
SUN CAPITAL LIMITED
|
Financial Market Authority |
Austria
|
20180620
20 Jun 2018
|
|
No additional comments posted.
|
|
CÓRDOBA VALORES S.A.
|
Comisión Nacional de Valores |
Argentina
|
20180619
19 Jun 2018
|
|
No additional comments posted.
|
|
Apex Tradex
|
Financial Conduct Authority |
United Kingdom
|
20180619
19 Jun 2018
|
|
No additional comments posted.
|
|
Smart Spend Limited
|
Financial Conduct Authority |
United Kingdom
|
20180619
19 Jun 2018
|
|
No additional comments posted.
|
|
柏富諾互聯網劵商服務平台 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20180619
19 Jun 2018
|
|
No additional comments posted.
|
|
BR Consulting Group Ltd / BRFXtrade
|
Finansinspektionen |
Sweden
|
20180619
19 Jun 2018
|
|
No additional comments posted.
|
|
8888markets
|
Finansinspektionen |
Sweden
|
20180619
19 Jun 2018
|
|
No additional comments posted.
|
|
Moretti & Associates
|
Finansinspektionen |
Sweden
|
20180619
19 Jun 2018
|
|
No additional comments posted.
|
|
Atypical investments - list of unauthorised companies
|
Autorité des marchés financiers |
France
|
20180618
18 Jun 2018
|
|
The French Autorité des marchés financiers (AMF) is updating its list with the names of several companies proposing atypical investments without being authorized to do so.
|
|
Viking Investments Global / Viking Investors Global (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
Shore Capital (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
Efforex (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
Car Insurance 4 u (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
4 You Limited
|
Financial Conduct Authority |
United Kingdom
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
T.W. CAPITAL LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180618
18 Jun 2018
|
|
WWW.VFXCAPITAL.COM
|
|
SIMPLEFX LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180618
18 Jun 2018
|
|
https://simplefx.com
|
|
WWW.FOREXSEÑALES.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
SEDI METALES NOBLES, SL. (SEDIMN)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180618
18 Jun 2018
|
|
https://sedimn.es
|
|
WWW.RETOSTRADING.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
WWW.OBJETIVOTRADING.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
WWW.OPCIONESBINARIASGUARDIAN.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
Funny SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
Stern Options (AKA Stern Markets)
|
Australian Securities and Investments Commission |
Australia
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
Hamburg Capital
|
Australian Securities and Investments Commission |
Australia
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
Olympia Capital Exchange
|
Australian Securities and Investments Commission |
Australia
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
Alliance FX Capital Ltd
|
Australian Securities and Investments Commission |
Australia
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
Imperial (Hong Kong) Limited (AKA Imperial Limited)
|
Australian Securities and Investments Commission |
Australia
|
20180618
18 Jun 2018
|
|
Link for Imperial Limited:
more
|
|
Canyon International HK
|
Australian Securities and Investments Commission |
Australia
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
Johnson Financial Consulting
|
Australian Securities and Investments Commission |
Australia
|
20180618
18 Jun 2018
|
|
No additional comments posted.
|
|
Morgan Wealth Advisory
|
Financial Conduct Authority |
United Kingdom
|
20180615
15 Jun 2018
|
|
No additional comments posted.
|
|
www.horizoncapman.com
|
Securities and Futures Commission |
Hong Kong
|
20180615
15 Jun 2018
|
|
No additional comments posted.
|
|
鴻運財富 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20180615
15 Jun 2018
|
|
No additional comments posted.
|
|
www.yifahk.com
|
Securities and Futures Commission |
Hong Kong
|
20180614
14 Jun 2018
|
|
No additional comments posted.
|
|
香港艾伯森集團 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20180614
14 Jun 2018
|
|
No additional comments posted.
|
|
www.zgxfgj.com
|
Securities and Futures Commission |
Hong Kong
|
20180614
14 Jun 2018
|
|
No additional comments posted.
|
|
Pro Speed Tech Ltd, United Limited, Y2 Media Group Ltd, Blue Seal Ltd, Blonde Bear OU and MarketGBP Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180613
13 Jun 2018
|
|
Consob has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree N. 58/1998, consisting of the offer and performance of investment services and activities to the Italian public, put in place by:
more
|
|
Swiss Investment Private Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180613
13 Jun 2018
|
|
No additional comments posted.
|
|
Coinmining24 Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180612
12 Jun 2018
|
|
No additional comments posted.
|
|
https://jinshuju.net/f/layize
|
Securities and Futures Commission |
Hong Kong
|
20180612
12 Jun 2018
|
|
No additional comments posted.
|
|
Newmont Wealth Advisory
|
Financial Conduct Authority |
United Kingdom
|
20180612
12 Jun 2018
|
|
No additional comments posted.
|
|
www.y2hh.com
|
Securities and Futures Commission |
Hong Kong
|
20180612
12 Jun 2018
|
|
No additional comments posted.
|
|
The Haighton Ruth Group (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180611
11 Jun 2018
|
|
No additional comments posted.
|
|
Aeon Group International
|
Finansinspektionen |
Sweden
|
20180611
11 Jun 2018
|
|
No additional comments posted.
|
|
Littinvest / Explatinum LP
|
Finansinspektionen |
Sweden
|
20180611
11 Jun 2018
|
|
No additional comments posted.
|
|
GRUPO ENIA (ESCUELA DE NEGOCIOS INVERSIÓN Y AHORRO ESPAÑA)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180611
11 Jun 2018
|
|
www.nicc.es
|
|
IQ FINANZAS EUROPA S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180611
11 Jun 2018
|
|
https://clubiqdesarrollo.com/
|
|
Beltra Solutions S.A. / Beltra Solutions (Europe) S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180608
08 Jun 2018
|
|
No additional comments posted.
|
|
Aladin Capital AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180608
08 Jun 2018
|
|
No additional comments posted.
|
|
SCHOLZ FINANCE
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180608
08 Jun 2018
|
|
No additional comments posted.
|
|
Loanovao (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180608
08 Jun 2018
|
|
No additional comments posted.
|
|
Mutual Fund Ltd
|
Financial Conduct Authority |
United Kingdom
|
20180608
08 Jun 2018
|
|
No additional comments posted.
|
|
Tradeovest
|
Financial Conduct Authority |
United Kingdom
|
20180608
08 Jun 2018
|
|
No additional comments posted.
|
|
Light Finance (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180608
08 Jun 2018
|
|
No additional comments posted.
|
|
NTB Direct
|
Financial Market Authority |
Austria
|
20180605
05 Jun 2018
|
|
No additional comments posted.
|
|
SpearTrader
|
Financial Market Authority |
Austria
|
20180605
05 Jun 2018
|
|
No additional comments posted.
|
|
Crowdbridge Global N.V.
|
Financial Market Authority |
Austria
|
20180605
05 Jun 2018
|
|
No additional comments posted.
|
|
Gumpold Christian & Co (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180604
04 Jun 2018
|
|
No additional comments posted.
|
|
"Boiler room" direct marketing
|
Autorité des marchés financiers |
France
|
20180604
04 Jun 2018
|
|
The AMF has published a warning about this fraudulent practice that encourages investors to purchase financial products on the basis of sales pitches incommensurate with the real value of the assets in question and with the promise of extremely high
more
|
|
Bristol Consulting FX
|
Superintendencia del Mercado de Valores |
Panama
|
20180604
04 Jun 2018
|
|
Website: http://bristolconsultingfx.com/
|
|
fraudulent use of the name of Banca d’Italia and CONSOB
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180604
04 Jun 2018
|
|
Consob has published a notice warning of email phishing with fraudulent use of the name of Banca d’Italia and CONSOB.
more
|
|
Km Media Ltd e Investmib Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180604
04 Jun 2018
|
|
No additional comments posted.
|
|
GloboTrust Holding SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180604
04 Jun 2018
|
|
No additional comments posted.
|
|
Escrow Global (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180604
04 Jun 2018
|
|
No additional comments posted.
|
|
Holzmann Friedrich
|
Financial Conduct Authority |
United Kingdom
|
20180604
04 Jun 2018
|
|
No additional comments posted.
|
|
Xiaohangjia Futures Limited / Xiaohangjia Brokers
|
Securities and Futures Commission |
Hong Kong
|
20180604
04 Jun 2018
|
|
No additional comments posted.
|
|
GG Financial / Gunnar Grieshofer (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180531
31 May 2018
|
|
No additional comments posted.
|
|
Charles Ross Associates
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180531
31 May 2018
|
|
No additional comments posted.
|
|
1APayment AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180531
31 May 2018
|
|
No additional comments posted.
|
|
www.advbusiness.org
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180531
31 May 2018
|
|
Consob has prohibited, in accordance with article 99 of the Italian Legislative Decree N. 58/1998, the offer to the Italian public of www.advbusiness.org.
more
|
|
Sanata Group Eood, Pentacle Group Ltd, Thinking Ahead Ltd, Kitano Ltd, Solid Plus Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180531
31 May 2018
|
|
Consob has ordered the above mentioned companies to cease infringement of art. 18 of the Italian Legislative Decree N. 58/1998, consisting of the offer and performance of investment services and activities to the Italian public.
|
|
accounts@bnparibas-es.com
|
Jersey Financial Services Commission |
Jersey
|
20180531
31 May 2018
|
|
No additional comments posted.
|
|
Greenwood Capital Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180530
30 May 2018
|
|
No additional comments posted.
|
|
Windsor Developments
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180530
30 May 2018
|
|
No additional comments posted.
|
|
Swiss Assets FX
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180530
30 May 2018
|
|
No additional comments posted.
|
|
Swiss Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180530
30 May 2018
|
|
No additional comments posted.
|
|
Menden Hall Law Office
|
Financial Conduct Authority |
United Kingdom
|
20180529
29 May 2018
|
|
No additional comments posted.
|
|
Digital Gold Xchange
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180528
28 May 2018
|
|
No additional comments posted.
|
|
INVESTMIB LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180528
28 May 2018
|
|
https://www.investmib.com/es
|
|
Crown-Finance
|
Financial Market Authority |
Austria
|
20180528
28 May 2018
|
|
No additional comments posted.
|
|
Nagaharu Global
|
Financial Market Authority |
Austria
|
20180528
28 May 2018
|
|
No additional comments posted.
|
|
Hauck-Investment
|
Financial Market Authority |
Austria
|
20180528
28 May 2018
|
|
No additional comments posted.
|
|
Mizuho DKB Brokerage
|
Financial Market Authority |
Austria
|
20180528
28 May 2018
|
|
No additional comments posted.
|
|
Prince de Heidendorf Asset Management
|
Financial Market Authority |
Austria
|
20180528
28 May 2018
|
|
No additional comments posted.
|
|
BP1 LP („Stern Options”)
|
Financial Market Authority |
Austria
|
20180528
28 May 2018
|
|
No additional comments posted.
|
|
RLCMN CAPITAL SK, s.r.o.
|
Financial Market Authority |
Austria
|
20180528
28 May 2018
|
|
No additional comments posted.
|
|
www.kbcapitals.com
|
Financial Market Authority |
Austria
|
20180528
28 May 2018
|
|
No additional comments posted.
|
|
Joshua Trade EOOD und Joshua Development LTD
|
Financial Market Authority |
Austria
|
20180528
28 May 2018
|
|
No additional comments posted.
|
|
Manly FX
|
Securities and Futures Commission |
Hong Kong
|
20180528
28 May 2018
|
|
No additional comments posted.
|
|
Zavori Financial Group (Asia) Limited
|
Financial Supervisory Commission |
Chinese Taipei
|
20180525
25 May 2018
|
|
Our records show that Zavori Financial Group (Asia) Limited does not obtain the license from the FSC and is not allowed to conduct securities businesses and offer investment services in Taiwan. Besides, Zavori Financial Group (Asia) Limited has not l
more
|
|
Avere Trust Group Limited
|
Financial Supervisory Commission |
Chinese Taipei
|
20180525
25 May 2018
|
|
Our records show that Avere Trust Group Limited does not obtain the license from the FSC and is not allowed to conduct securities businesses and offer investment services in Taiwan. Besides, Avere Trust Group Limited has not legally registered in Tai
more
|
|
Heartloans.co.uk
|
Financial Conduct Authority |
United Kingdom
|
20180524
24 May 2018
|
|
Clone of FCA authorised firm
|
|
Platinums Gain (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180523
23 May 2018
|
|
No additional comments posted.
|
|
Moneyworld (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180523
23 May 2018
|
|
No additional comments posted.
|
|
Fintech Technologies trading as Tradefintech.com / Fintech Trade
|
Financial Conduct Authority |
United Kingdom
|
20180523
23 May 2018
|
|
No additional comments posted.
|
|
International Markets Live Limited trading as iMarketsLive
|
Financial Conduct Authority |
United Kingdom
|
20180523
23 May 2018
|
|
No additional comments posted.
|
|
www.dfzq.ink
|
Securities and Futures Commission |
Hong Kong
|
20180523
23 May 2018
|
|
No additional comments posted.
|
|
DongXing Futures Limited
|
Securities and Futures Commission |
Hong Kong
|
20180523
23 May 2018
|
|
No additional comments posted.
|
|
Bluestone Asset Management (Europe) S.A.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180522
22 May 2018
|
|
No additional comments posted.
|
|
website www.segnalivincenti.net
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180522
22 May 2018
|
|
CONSOB has suspended, in accordance with article 99 of the Italian Legislative Decree N. 58/1998, the offer to the Italian public of standardised units of “managed accounts” put in place through the website www.segnalivincenti.net.
|
|
Exo Capital Markets, Instafx24, Marketier Holdings, InOut Capital LP
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180522
22 May 2018
|
|
Consob has ordered the following companies to cease infringement of art. 18 of the Italian Legislative Decree N. 58/1998, consisting of the
more
|
|
Clear Loans (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180522
22 May 2018
|
|
No additional comments posted.
|
|
Save Power UK
|
Financial Conduct Authority |
United Kingdom
|
20180522
22 May 2018
|
|
No additional comments posted.
|
|
Victordebt Limited
|
Financial Conduct Authority |
United Kingdom
|
20180522
22 May 2018
|
|
No additional comments posted.
|
|
Dew Finance Services Limited t/a Dew Finance
|
Financial Conduct Authority |
United Kingdom
|
20180522
22 May 2018
|
|
No additional comments posted.
|
|
CBC Legal Group / Christian, Bradford and Cohen Legal Group
|
Financial Conduct Authority |
United Kingdom
|
20180521
21 May 2018
|
|
No additional comments posted.
|
|
Rainforth
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180518
18 May 2018
|
|
No additional comments posted.
|
|
www.gdicapital.com
|
Securities and Futures Commission |
Hong Kong
|
20180518
18 May 2018
|
|
No additional comments posted.
|
|
Prople Investments Limited
|
Financial Conduct Authority |
United Kingdom
|
20180517
17 May 2018
|
|
No additional comments posted.
|
|
Gold Star Group Limited
|
Financial Conduct Authority |
United Kingdom
|
20180517
17 May 2018
|
|
No additional comments posted.
|
|
Hash Finance Limited
|
Financial Conduct Authority |
United Kingdom
|
20180517
17 May 2018
|
|
This entity also trades as Hash Finance, Hash Loans, Steam Lending Limited, Steam Lending and Steam Finance,
|
|
Marcela Gerlova (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180517
17 May 2018
|
|
No additional comments posted.
|
|
Jana Hudikova Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20180517
17 May 2018
|
|
No additional comments posted.
|
|
International Futures Channel Integrated Service Provider
|
Securities and Futures Commission |
Hong Kong
|
20180517
17 May 2018
|
|
No additional comments posted.
|
|
Albertson Group Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20180517
17 May 2018
|
|
No additional comments posted.
|
|
AXA IM (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180517
17 May 2018
|
|
No additional comments posted.
|
|
Adenium
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180517
17 May 2018
|
|
Angebot des ADE Toke
|
|
B.M.O. Ltd.
|
Ontario Securities Commission |
Ontario
|
20180516
16 May 2018
|
|
B.M.O. Ltd. is not registered in Ontario, Canada to engage in the business of trading in securities.
|
|
Metainvesting also operating as Meta Investing and doing business as www.metainvesting.com
|
Ontario Securities Commission |
Ontario
|
20180516
16 May 2018
|
|
Metainvesting also operating as Meta Investing and doing business as www.metainvesting.com is not registered in Ontario to engage in the business of trading in securities.
|
|
Potter Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20180516
16 May 2018
|
|
No additional comments posted.
|
|
West Finance Trade
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180516
16 May 2018
|
|
No additional comments posted.
|
|
www.jinlifengtw.com
|
Securities and Futures Commission |
Hong Kong
|
20180516
16 May 2018
|
|
No additional comments posted.
|
|
中宜期指有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20180515
15 May 2018
|
|
No additional comments posted.
|
|
Kaiju Limited
|
Securities and Futures Commission |
Hong Kong
|
20180515
15 May 2018
|
|
No additional comments posted.
|
|
Altera International Financial Limited
|
Securities and Futures Commission |
Hong Kong
|
20180515
15 May 2018
|
|
No additional comments posted.
|
|
Truevalue Investment International Limited
|
British Columbia Securities Commission |
British Columbia
|
20180514
14 May 2018
|
|
No additional comments posted.
|
|
Five Winds Asset Management and Compendium Value Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180514
14 May 2018
|
|
No additional comments posted.
|
|
Novatrades, Advanced Binary Technologies, Allmedia, Vcapital doo Podgorica and Moorwant
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180514
14 May 2018
|
|
No additional comments posted.
|
|
WWW.FINODAX.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180514
14 May 2018
|
|
No additional comments posted.
|
|
T.W. CAPITAL LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180514
14 May 2018
|
|
WWW.LIONSBIT.COM
|
|
Credit My Funds / CreditMyFunds (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180511
11 May 2018
|
|
No additional comments posted.
|
|
Hongkong Cheng Hui Finance
|
Securities and Futures Commission |
Hong Kong
|
20180511
11 May 2018
|
|
No additional comments posted.
|
|
STG Limited / Shengtian International Financial Group / Shing Tin International Trading Limited
|
Securities and Futures Commission |
Hong Kong
|
20180511
11 May 2018
|
|
No additional comments posted.
|
|
Bluestar International Acquiring, TouchTrades, Black Parrot e Blonde Bear Ou, Royal Cripto, Venice Investment Group, Infc Holding
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180510
10 May 2018
|
|
No additional comments posted.
|
|
Stocktradeinvest, Black Parrot e Blonde Bear Ou, Nordic Pearl e Grand Services, Topfx24, Silver Wolf e Cherry Goose Ou
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180510
10 May 2018
|
|
No additional comments posted.
|
|
Coinoa, Becfd Limited, Chimera Investment Corporation, Leads Capital Inc. and Trade UP Ltd, Housers Services International BV
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180510
10 May 2018
|
|
No additional comments posted.
|
|
Trade World Forex International Limited
|
Financial Services Commission |
Mauritius
|
20180510
10 May 2018
|
|
No additional comments posted.
|
|
Cryptocurrency trading platforms
|
Financial Services and Markets Authority |
Belgium
|
20180509
09 May 2018
|
|
warning
|
|
Safe Invest
|
Financial Conduct Authority |
United Kingdom
|
20180509
09 May 2018
|
|
No additional comments posted.
|
|
Plus 500 Pro
|
Financial Conduct Authority |
United Kingdom
|
20180509
09 May 2018
|
|
No additional comments posted.
|
|
Whitman Law Group
|
Financial Conduct Authority |
United Kingdom
|
20180509
09 May 2018
|
|
No additional comments posted.
|
|
Network Worth Incorporated
|
Securities and Futures Commission |
Hong Kong
|
20180509
09 May 2018
|
|
No additional comments posted.
|
|
Milton Group Ltd and Kyoto Limited Ltd, Velmon Enterprise Ltd, IBA Group Ltd, Capzone Invest Ltd, programme “Elect Capital”
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180508
08 May 2018
|
|
No additional comments posted.
|
|
Nostro Technology OU (website www.globalfxm.com) and Spot2Trade Ltd, Astra Financial Limited, Joshua Development Limited, Joshua Consulting Ltd and Joshua Partners Eood
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180508
08 May 2018
|
|
No additional comments posted.
|
|
Jsb Capital Group (Sv) Ltd (www.bnqcapital.com) and Sas Global Trading Ltd, www.advbusiness.org
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180508
08 May 2018
|
|
No additional comments posted.
|
|
Five Winds Asset Management, Iforex24 Ltd (www..iforex24.com), Smart Choice Zone Lp and Titanium Tech Solutions Limited (www.toroption.com), Nostro Technology Ltd (www.xlrtrade.com) and Black Parrot Limited - Blonde Bear Ou
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180508
08 May 2018
|
|
No additional comments posted.
|
|
Up4x Ltd (www.4xbanks.com), 4Xbrands Ltd (www.4xbrands.com), 4Xbankers Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180508
08 May 2018
|
|
No additional comments posted.
|
|
Sky Way Invest Group, website https://superblu.wordpress.com,
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180508
08 May 2018
|
|
No additional comments posted.
|
|
Sky Way Invest Group, Skyway Capital, AskiiHolding
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180508
08 May 2018
|
|
No additional comments posted.
|
|
websites: thebitcoinscode.com/it/, the-bitcoin-code.com, thebitcoincode.com/it/ and the Facebook page www.facebook.com/The-Bitcoin-Code-Italiano-118728545441835
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180508
08 May 2018
|
|
No additional comments posted.
|
|
Blue Seal Limited and Nostro Technology Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180508
08 May 2018
|
|
No additional comments posted.
|
|
Europe Trade Ltd, Ajn Trade Ltd and Eu Trading Services Llp
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20180508
08 May 2018
|
|
No additional comments posted.
|
|
Sterling Fund & Co Wealth Management
|
Jersey Financial Services Commission |
Jersey
|
20180508
08 May 2018
|
|
No additional comments posted.
|
|
Regent Street Finance
|
Jersey Financial Services Commission |
Jersey
|
20180508
08 May 2018
|
|
No additional comments posted.
|
|
INTERNATIONAL MARKETS LIVE
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180507
07 May 2018
|
|
http://imarketslive.com
|
|
GRUPO GMI, S.L. / COACHING & COMPANY
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180507
07 May 2018
|
|
WWW.CURSO-FOREX.ES
more
|
|
HTTP://CRIPTOROBOT.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180507
07 May 2018
|
|
No additional comments posted.
|
|
Jinbi Token AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180507
07 May 2018
|
|
No additional comments posted.
|
|
The Adam Group
|
Securities and Futures Commission |
Hong Kong
|
20180507
07 May 2018
|
|
No additional comments posted.
|
|
Metropol Invest Group / Metropol Invest Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20180507
07 May 2018
|
|
No additional comments posted.
|
|
Quality Lending Service
|
Financial Conduct Authority |
United Kingdom
|
20180504
04 May 2018
|
|
No additional comments posted.
|
|
Whitestone Finance Ltd
|
Financial Conduct Authority |
United Kingdom
|
20180504
04 May 2018
|
|
No additional comments posted.
|
|
Atwood Stanley Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20180504
04 May 2018
|
|
No additional comments posted.
|
|
eXbino.com
|
Polish Financial Supervision Authority |
Poland
|
20180504
04 May 2018
|
|
No additional comments posted.
|
|
Fundusz Hipoteczny Yanok
|
Polish Financial Supervision Authority |
Poland
|
20180504
04 May 2018
|
|
No additional comments posted.
|
|
SpearTrader
|
Finansinspektionen |
Sweden
|
20180504
04 May 2018
|
|
No additional comments posted.
|
|
Hong Kong Fengying Holding Company Limited
|
Securities and Futures Commission |
Hong Kong
|
20180503
03 May 2018
|
|
No additional comments posted.
|
|
Sterling and Ross Advisory S.A.
|
British Columbia Securities Commission |
British Columbia
|
20180502
02 May 2018
|
|
No additional comments posted.
|
|
Zhonglian International Finance Group / Zhonglian Financial Group
|
Securities and Futures Commission |
Hong Kong
|
20180502
02 May 2018
|
|
No additional comments posted.
|
|
Capzone Invest Ltd. t/a HQ Broker
|
Financial Conduct Authority |
United Kingdom
|
20180501
01 May 2018
|
|
No additional comments posted.
|
|
Finance Lenders
|
Financial Conduct Authority |
United Kingdom
|
20180501
01 May 2018
|
|
No additional comments posted.
|
|
Marc Hermann Wealth Management (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180501
01 May 2018
|
|
No additional comments posted.
|
|
Total International C.P.A. Ltd
|
Central Bank of Ireland |
Ireland
|
20180501
01 May 2018
|
|
Total International C.P.A. Ltd is not authorized to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Capital Credit Guarantee LLC, WILMINGTON (DELAWARE), SUCCURSALE IN MELIDE
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180501
01 May 2018
|
|
No additional comments posted.
|
|
NBR Trading Co Ltd (AKA NBR Trading Yokohama)
|
Australian Securities and Investments Commission |
Australia
|
20180501
01 May 2018
|
|
Link for NBR Trading Yokohama
more
|
|
Federal Mergers & Securities Board
|
Australian Securities and Investments Commission |
Australia
|
20180501
01 May 2018
|
|
No additional comments posted.
|
|
Hokkaido Investments SP (AKA Capzone Invest Ltd)
|
Australian Securities and Investments Commission |
Australia
|
20180501
01 May 2018
|
|
Link for Capzone Invest Ltd
more
|
|
ADS Quality Financial Services
|
Australian Securities and Investments Commission |
Australia
|
20180501
01 May 2018
|
|
No additional comments posted.
|
|
Redfield Markets Ltd t/a PlusOptions
|
Australian Securities and Investments Commission |
Australia
|
20180501
01 May 2018
|
|
Link for PlusOptions
more
|
|
Kingsley Capital Partners Inc
|
Australian Securities and Investments Commission |
Australia
|
20180501
01 May 2018
|
|
No additional comments posted.
|
|
Howard James Group UK
|
Australian Securities and Investments Commission |
Australia
|
20180501
01 May 2018
|
|
No additional comments posted.
|
|
NostroBank (Brokerage Firm)
|
Australian Securities and Investments Commission |
Australia
|
20180501
01 May 2018
|
|
No additional comments posted.
|
|
Keyds Lydya Ltd (AKA Keyds Scotland)
|
Australian Securities and Investments Commission |
Australia
|
20180501
01 May 2018
|
|
Link for Keyds Scotland
more
|
|
China Pacific Capital
|
Australian Securities and Investments Commission |
Australia
|
20180501
01 May 2018
|
|
No additional comments posted.
|
|
Amalgamated Properties Limited (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180430
30 Apr 2018
|
|
No additional comments posted.
|
|
Get Your Loans (clone of an FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20180430
30 Apr 2018
|
|
No additional comments posted.
|
|
Caledonia Investment Company Limited
|
Securities and Futures Commission |
Hong Kong
|
20180426
26 Apr 2018
|
|
No additional comments posted.
|
|
FxFWay福威 / FxFWay UK Limited / Fortune Way HK Limited
|
Securities and Futures Commission |
Hong Kong
|
20180426
26 Apr 2018
|
|
No additional comments posted.
|
|
Pay Smart Limited
|
Securities and Futures Commission |
Hong Kong
|
20180426
26 Apr 2018
|
|
No additional comments posted.
|
|
www.privat-onlinenpb.com / info@privat-onlinenpb.com
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180426
26 Apr 2018
|
|
No additional comments posted.
|
|
www.lansforex.com
|
Securities and Futures Commission |
Hong Kong
|
20180425
25 Apr 2018
|
|
No additional comments posted.
|
|
GG Binary Option
|
Securities and Futures Commission |
Hong Kong
|
20180425
25 Apr 2018
|
|
No additional comments posted.
|
|
SECURE OPTIONS MARKET
|
Financial Services Commission |
Mauritius
|
20180424
24 Apr 2018
|
|
No additional comments posted.
|
|
BALI LIMITED LTD / WINMORE ALLIANCE / WWW.POINTINVESTMENTGROUP.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180423
23 Apr 2018
|
|
Related with EASY LINE PRO and the webs WWW.GBOCAPITAL.COM, WWW.EASYLINEPRO.COM, WWW.STOCKSCALL.COM Y WWW.CLICKBANCA.
|
|
Schalom and Gerson / S.G. Finance SPRL
|
Financial Services and Markets Authority |
Belgium
|
20180423
23 Apr 2018
|
|
warning 'boiler room'
|
|
Meadows Financial
|
Financial Services and Markets Authority |
Belgium
|
20180423
23 Apr 2018
|
|
warning 'boiler room'
|
|
Loeb Benson
|
Financial Services and Markets Authority |
Belgium
|
20180423
23 Apr 2018
|
|
warning 'boiler room'
|
|
Lambert & Sons Incorporated / Lambert and Sons Incorporated
|
Financial Services and Markets Authority |
Belgium
|
20180423
23 Apr 2018
|
|
warning 'boiler room'
|
|
Hollis Kookmin Financial
|
Financial Services and Markets Authority |
Belgium
|
20180423
23 Apr 2018
|
|
warning 'boiler room'
|
|
Burton Mills
|
Financial Services and Markets Authority |
Belgium
|
20180423
23 Apr 2018
|
|
warning 'boiler room'
|
|
AMP Capital Investors (UK) Limited (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180420
20 Apr 2018
|
|
No additional comments posted.
|
|
Reyker Securities (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180420
20 Apr 2018
|
|
No additional comments posted.
|
|
Trade Korea (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180420
20 Apr 2018
|
|
No additional comments posted.
|
|
Kingsberg International Ltd.
|
Securities and Futures Commission |
Hong Kong
|
20180420
20 Apr 2018
|
|
No additional comments posted.
|
|
Swordfish Financial
|
Securities and Futures Commission |
Hong Kong
|
20180420
20 Apr 2018
|
|
No additional comments posted.
|
|
Michael Ulrich Hartmann
|
Securities and Futures Commission |
Hong Kong
|
20180420
20 Apr 2018
|
|
No additional comments posted.
|
|
Star Yao International (Hong Kong) Limited
|
Securities and Futures Commission |
Hong Kong
|
20180420
20 Apr 2018
|
|
No additional comments posted.
|
|
Sovereign Wealth Preservation (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180420
20 Apr 2018
|
|
No additional comments posted.
|
|
Blackmore Consulting / Blackmore Consulting Group
|
Securities and Futures Commission |
Hong Kong
|
20180419
19 Apr 2018
|
|
No additional comments posted.
|
|
www.dfzqhk.cn
|
Securities and Futures Commission |
Hong Kong
|
20180419
19 Apr 2018
|
|
No additional comments posted.
|
|
Northridge Financial Partners
|
Securities and Futures Commission |
Hong Kong
|
20180419
19 Apr 2018
|
|
No additional comments posted.
|
|
Luxembourg Offshore Banking
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180418
18 Apr 2018
|
|
No additional comments posted.
|
|
SC Global Fund / SunCorp
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180417
17 Apr 2018
|
|
No additional comments posted.
|
|
Swiss American Capital Group Ltd
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180417
17 Apr 2018
|
|
No additional comments posted.
|
|
SUN CAPITAL LIMITED
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180417
17 Apr 2018
|
|
No additional comments posted.
|
|
Zeus Crypto
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180417
17 Apr 2018
|
|
No additional comments posted.
|
|
Jupiter Fund Management (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180417
17 Apr 2018
|
|
Cloning details of UK incorporated company and FCA Authorised Firm
|
|
Noble Capital House
|
Financial Conduct Authority |
United Kingdom
|
20180417
17 Apr 2018
|
|
No additional comments posted.
|
|
Novatrades LTD
|
Financial Conduct Authority |
United Kingdom
|
20180417
17 Apr 2018
|
|
No additional comments posted.
|
|
London Loan Bank
|
Financial Conduct Authority |
United Kingdom
|
20180417
17 Apr 2018
|
|
No additional comments posted.
|
|
Franklin Bain Advisors Ltd
|
Securities and Futures Commission |
Hong Kong
|
20180417
17 Apr 2018
|
|
No additional comments posted.
|
|
Hamburg Capital
|
Securities and Futures Commission |
Hong Kong
|
20180417
17 Apr 2018
|
|
No additional comments posted.
|
|
Bluestone Asset Management (Europe) S.A.
|
Financial Conduct Authority |
United Kingdom
|
20180416
16 Apr 2018
|
|
No additional comments posted.
|
|
WSM INVERSIONES ADMINISTRACION FINANCIERA BURSATIL
|
Comisión Nacional de Valores |
Argentina
|
20180413
13 Apr 2018
|
|
No additional comments posted.
|
|
The Crypto Genius
|
Financial Market Authority |
Austria
|
20180413
13 Apr 2018
|
|
No additional comments posted.
|
|
www.holzmannfriedrich.com
|
Financial Market Authority |
Austria
|
20180413
13 Apr 2018
|
|
No additional comments posted.
|
|
www.quaronigroup.com
|
Financial Market Authority |
Austria
|
20180413
13 Apr 2018
|
|
No additional comments posted.
|
|
iforex24 Ltd
|
Financial Market Authority |
Austria
|
20180413
13 Apr 2018
|
|
No additional comments posted.
|
|
SG Innovation Ltd (XMarkets.com)
|
Financial Market Authority |
Austria
|
20180413
13 Apr 2018
|
|
No additional comments posted.
|
|
New Markets S.A. (OptionStarsGlobal)
|
Financial Market Authority |
Austria
|
20180413
13 Apr 2018
|
|
No additional comments posted.
|
|
LOK Marketing Ltd (SolidCFD)
|
Financial Market Authority |
Austria
|
20180413
13 Apr 2018
|
|
No additional comments posted.
|
|
X12
|
Financial Market Authority |
Austria
|
20180413
13 Apr 2018
|
|
No additional comments posted.
|
|
LOEB BENSON
|
Financial Market Authority |
Austria
|
20180413
13 Apr 2018
|
|
No additional comments posted.
|
|
BY Trading Limited
|
Financial Market Authority |
Austria
|
20180413
13 Apr 2018
|
|
No additional comments posted.
|
|
Great Britain loans PVT loan Limited (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180413
13 Apr 2018
|
|
Clone of FCA authorised firm
|
|
Rui Long International
|
Securities and Futures Commission |
Hong Kong
|
20180413
13 Apr 2018
|
|
No additional comments posted.
|
|
Continental Capital Markets Ltd (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180413
13 Apr 2018
|
|
Clone of FCA authorised firm
|
|
Michael Miller (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20180412
12 Apr 2018
|
|
No additional comments posted.
|
|
Tryn
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180412
12 Apr 2018
|
|
No additional comments posted.
|
|
Regent Street Finance (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180410
10 Apr 2018
|
|
No additional comments posted.
|
|
Funding Circle Loans (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180410
10 Apr 2018
|
|
No additional comments posted.
|
|
Almamarkets Limited t/a Safe Markets
|
Financial Conduct Authority |
United Kingdom
|
20180409
09 Apr 2018
|
|
No additional comments posted.
|
|
Baltic Concert LLP t/a IDB Trades
|
Financial Conduct Authority |
United Kingdom
|
20180409
09 Apr 2018
|
|
No additional comments posted.
|
|
Atypical investments - list of unauthorised companies
|
Autorité des marchés financiers |
France
|
20180409
09 Apr 2018
|
|
The French AMF is updating the list of unauthorised firms offering atypical investments.
|
|
J&T Capital Management
|
Financial Market Authority |
Liechtenstein
|
20180409
09 Apr 2018
|
|
Warning notice: www.jtcapitalmanagement.com
|
|
St Clair Capital Group
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20180409
09 Apr 2018
|
|
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from St Clair Capital Group. This company is a suspected boiler room. St Clair Capital Group has approached persons without being asked, to offer them
more
|
|
Morgan Newfield
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20180409
09 Apr 2018
|
|
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Morgan Newfield. This company is a suspected boiler room. Morgan Newfield has approached persons without being asked, to offer them investment pr
more
|
|
USI TECH
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180409
09 Apr 2018
|
|
https://usitech-int.com/
|
|
NEGOCIOENACCION
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180409
09 Apr 2018
|
|
www.NegocioEnAccion.com
more
|
|
SOLUTIONS CM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180409
09 Apr 2018
|
|
www.britonprice.com/
|
|
FXC Markets
|
Financial Conduct Authority |
United Kingdom
|
20180406
06 Apr 2018
|
|
Clone of FCA authorised firm
|
|
YOLENGER s.r.o.
|
Czech National Bank |
Czech Republic
|
20180406
06 Apr 2018
|
|
The Czech National Bank wishes to point out that YOLENGER s.r.o., company ID 058 96 444 is offering, under the trade name GreenFields Capital, trading in currencies, commodities and shares via CFD or FRA on the website www.greenfieldscapital.com or t
more
|
|
www.epargne-eco.fr
|
Autorité des marchés financiers |
France
|
20180404
04 Apr 2018
|
|
The French AMF has issued a warning regarding the website épargne-eco which claims to be a crowdfunding platform awaiting regularization by the French authorities. Furthermore it claims to be a crowdfunding advisor (CIP).
|
|
Smith Capital Ventures, Inc.
|
Central Bank of Ireland |
Ireland
|
20180404
04 Apr 2018
|
|
Smith Capital Ventures, Inc. is not authorized to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
The Castlebrook Properties HMO Properties Bond / Castlebrook Properties (clone of a UK registered company)
|
Financial Conduct Authority |
United Kingdom
|
20180404
04 Apr 2018
|
|
No additional comments posted.
|
|
ProInvest Solutions (clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20180403
03 Apr 2018
|
|
No additional comments posted.
|
|
Homepay Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20180403
03 Apr 2018
|
|
No additional comments posted.
|
|
GetcoPro
|
Central Bank of Ireland |
Ireland
|
20180403
03 Apr 2018
|
|
GetcoPro is not authorized to provide investment services to persons in Ireland. The firm purports to be based in the United Kingdom
|
|
CSBank S.P. / CSBank.ch
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180403
03 Apr 2018
|
|
No additional comments posted.
|
|
RR CONSULTORIA E SERVICOS
|
Comissão de Valores Mobiliários |
Brazil
|
20180402
02 Apr 2018
|
|
Not authorized by the CVM of Brazil to offer investment opportunities in the Forex market to Brazilian Residents by any means, (online or other).
more
|
|
FEATS COMUNICAÇÃO CRIATIVA LTDA
|
Comissão de Valores Mobiliários |
Brazil
|
20180402
02 Apr 2018
|
|
Not authorized by the CVM of Brazil to offer investment opportunities in the Forex market to Brazilian Residents by any means, (online or other).
more
|
|
ALBERI PINHEIRO LOPES EPP
|
Comissão de Valores Mobiliários |
Brazil
|
20180402
02 Apr 2018
|
|
Not authorized by the CVM of Brazil to offer investment opportunities in the Forex market to Brazilian Residents by any means, (online or other).
more
|
|
G44 BRASIL INTERMEDIACOES FINANCEIRAS EIRELI
|
Comissão de Valores Mobiliários |
Brazil
|
20180402
02 Apr 2018
|
|
Not authorized by the CVM of Brazil to offer investment opportunities in the Forex market to Brazilian Residents by any means, (online or other).
more
|
|
MEDIA CLIENT SERVICE, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180402
02 Apr 2018
|
|
Domiciled in Marbella – Málaga
|
|
MEDIA GC LIMITED (TRADEGC)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180402
02 Apr 2018
|
|
https://mediagcltd.com/es
|
|
Verge Finance Private Lending
|
Financial Conduct Authority |
United Kingdom
|
20180329
29 Mar 2018
|
|
No additional comments posted.
|
|
Personal Loan Now
|
Financial Conduct Authority |
United Kingdom
|
20180329
29 Mar 2018
|
|
No additional comments posted.
|
|
Helvezia Trust
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180329
29 Mar 2018
|
|
No additional comments posted.
|
|
Euro Ventures Group (London) Limited
|
Financial Conduct Authority |
United Kingdom
|
20180329
29 Mar 2018
|
|
No additional comments posted.
|
|
Hong Kong Fengying Holding Company Limited
|
Securities and Futures Commission |
Hong Kong
|
20180329
29 Mar 2018
|
|
No additional comments posted.
|
|
Zurich Financial
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180328
28 Mar 2018
|
|
No additional comments posted.
|
|
Blue Insurance UK
|
Financial Conduct Authority |
United Kingdom
|
20180327
27 Mar 2018
|
|
No additional comments posted.
|
|
Credit Extra Cash
|
Financial Conduct Authority |
United Kingdom
|
20180327
27 Mar 2018
|
|
No additional comments posted.
|
|
BY Trading Limited
|
Financial Market Authority |
Austria
|
20180326
26 Mar 2018
|
|
No additional comments posted.
|
|
Shalom & Gerson Finance
|
Financial Market Authority |
Austria
|
20180326
26 Mar 2018
|
|
No additional comments posted.
|
|
www.cs-advisory.com
|
Financial Market Authority |
Austria
|
20180326
26 Mar 2018
|
|
No additional comments posted.
|
|
AMG Capital Partners Limited (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20180326
26 Mar 2018
|
|
This firm is acting as a clone of an FCA authorised firm.
|
|
Quaroni Group (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180323
23 Mar 2018
|
|
No additional comments posted.
|
|
Fraudulent use of AMF's name
|
Autorité des marchés financiers |
France
|
20180323
23 Mar 2018
|
|
Please find attached the link to a warning regarding the fraudulent use of the French AMF’s name supposedly to help investors recover sums invested in binary options.
|
|
Zan Partners
|
Financial Conduct Authority |
United Kingdom
|
20180323
23 Mar 2018
|
|
No additional comments posted.
|
|
Automatix Top Limited
|
Financial Conduct Authority |
United Kingdom
|
20180323
23 Mar 2018
|
|
"cloned" details of an FCA authorised firm
|
|
Heritage Capital
|
Financial Conduct Authority |
United Kingdom
|
20180323
23 Mar 2018
|
|
No additional comments posted.
|
|
Global Project Management SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180322
22 Mar 2018
|
|
No additional comments posted.
|
|
MCC Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180322
22 Mar 2018
|
|
No additional comments posted.
|
|
Oakwood Advisory
|
Financial Conduct Authority |
United Kingdom
|
20180322
22 Mar 2018
|
|
No additional comments posted.
|
|
Aidan Trading Corp. also operating as Aidan Trading and doing business as www.aidantrading.com
|
Ontario Securities Commission |
Ontario
|
20180322
22 Mar 2018
|
|
Aidan Trading Corp. also operating as Aidan Trading and doing business as www.aidantrading.com is not registered in Ontario, Canada to engage in the business of trading in securities.
|
|
Catalyst CM Limited
|
Ontario Securities Commission |
Ontario
|
20180322
22 Mar 2018
|
|
Catalyst CM Limited is not registered in Ontario, Canada to engage in the business of trading in securities.
|
|
Prime Financial Partners
|
Finansinspektionen |
Sweden
|
20180321
21 Mar 2018
|
|
No additional comments posted.
|
|
Soft Loans
|
Financial Conduct Authority |
United Kingdom
|
20180321
21 Mar 2018
|
|
"cloned" details of an FCA authorised firm
|
|
Denman-Brys Group (clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20180320
20 Mar 2018
|
|
No additional comments posted.
|
|
Peak Managers Inc.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180320
20 Mar 2018
|
|
No additional comments posted.
|
|
Lamp Education Canada Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20180319
19 Mar 2018
|
|
No additional comments posted.
|
|
Sinitus Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180319
19 Mar 2018
|
|
No additional comments posted.
|
|
Marcela Cunderle
|
Financial Conduct Authority |
United Kingdom
|
20180316
16 Mar 2018
|
|
No additional comments posted.
|
|
Firefly Finance
|
Financial Conduct Authority |
United Kingdom
|
20180316
16 Mar 2018
|
|
No additional comments posted.
|
|
Atypical investments - crypto assets
|
Autorité des marchés financiers |
France
|
20180315
15 Mar 2018
|
|
The French AMF has issued a warning regarding « atypical » investments, in this case companies offering investments in crypto assets, some of which are presented as crypto currencies.
|
|
BitcoinBank
|
British Columbia Securities Commission |
British Columbia
|
20180315
15 Mar 2018
|
|
No additional comments posted.
|
|
Patcham Investment Funds (PIF) (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180315
15 Mar 2018
|
|
Clone of FCA Authorised Schedule 5 firm
|
|
RBCP INTERNATIONAL
|
Financial Conduct Authority |
United Kingdom
|
20180315
15 Mar 2018
|
|
No additional comments posted.
|
|
Westpac Bank of London (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180315
15 Mar 2018
|
|
No additional comments posted.
|
|
CryptFund
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180314
14 Mar 2018
|
|
No additional comments posted.
|
|
GreenFields Capital
|
Superintendencia del Mercado de Valores |
Panama
|
20180313
13 Mar 2018
|
|
Company not registered
|
|
Continental Bancorp
|
Superintendencia del Mercado de Valores |
Panama
|
20180313
13 Mar 2018
|
|
Company not registered
|
|
Aidan Trading Corp.
|
Superintendencia del Mercado de Valores |
Panama
|
20180313
13 Mar 2018
|
|
Company not registered
|
|
Christopher Scholz (clone firm)
|
Financial Conduct Authority |
United Kingdom
|
20180313
13 Mar 2018
|
|
No additional comments posted.
|
|
Mane Marketing Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20180313
13 Mar 2018
|
|
No additional comments posted.
|
|
Nescom Polska Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20180313
13 Mar 2018
|
|
No additional comments posted.
|
|
Netmore Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20180313
13 Mar 2018
|
|
No additional comments posted.
|
|
Seremar Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20180313
13 Mar 2018
|
|
No additional comments posted.
|
|
Butrans Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20180313
13 Mar 2018
|
|
No additional comments posted.
|
|
CARTER CORPORATE LAW
|
Financial Conduct Authority |
United Kingdom
|
20180312
12 Mar 2018
|
|
No additional comments posted.
|
|
BFB MARKETING Ltd / FXT24 Ltd
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180312
12 Mar 2018
|
|
www.fxt24.com
|
|
ABC123 Group
|
Securities and Futures Commission |
Hong Kong
|
20180312
12 Mar 2018
|
|
No additional comments posted.
|
|
Resonance Capital
|
Central Bank of Ireland |
Ireland
|
20180309
09 Mar 2018
|
|
Resonance Capital is not authorized to provide investment services in Ireland. The firm purports to be based in Ireland.
|
|
TCV & Partners (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180309
09 Mar 2018
|
|
No additional comments posted.
|
|
GRG INVEST GESTORA PATRIMONIAL
|
Comissão de Valores Mobiliários |
Brazil
|
20180306
06 Mar 2018
|
|
Not authorized by the CVM Brazil to publicly offer securities or perform any activities within the securities market.
|
|
FOREX CLUB INTERNATIONAL LIMITED
|
Comissão de Valores Mobiliários |
Brazil
|
20180306
06 Mar 2018
|
|
Not authorized by the CVM of Brazil to perform any activities within the securities market through the page https://libertex.org or by any other mean.
|
|
Quad Trust Investment Bank Limited
|
Jersey Financial Services Commission |
Jersey
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
kleinwortbensonprivate.com
|
Jersey Financial Services Commission |
Jersey
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
Northridge Financial Partners
|
Finansinspektionen |
Sweden
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
Benson Brokerage Limited
|
Central Bank of Ireland |
Ireland
|
20180306
06 Mar 2018
|
|
Benson Brokerage Limited is not authorized to provide investment services in Ireland. The firm purports to be based in Ireland.
|
|
www.blamja.com
|
Securities and Futures Commission |
Hong Kong
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
Noke International (Hong Kong)
|
Securities and Futures Commission |
Hong Kong
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
HQBroker
|
Securities and Futures Commission |
Hong Kong
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
cabbot law group
|
Financial Conduct Authority |
United Kingdom
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
Toronto Sumitomo Trading
|
Securities and Futures Commission |
Hong Kong
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
ATB Holdings
|
Securities and Futures Commission |
Hong Kong
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
EFG Private Limited (formerly known as EFG Corporation Limited) / Everence Financial Group
|
Securities and Futures Commission |
Hong Kong
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
http://aiooos.com
|
Securities and Futures Commission |
Hong Kong
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
www.rifaqh.com
|
Securities and Futures Commission |
Hong Kong
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
http://rtartrade.cn
|
Securities and Futures Commission |
Hong Kong
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
www.runxinkang.com
|
Securities and Futures Commission |
Hong Kong
|
20180306
06 Mar 2018
|
|
No additional comments posted.
|
|
ONDAMARKETS Ltd
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180305
05 Mar 2018
|
|
www.ondamarkets.com/
|
|
CROWN MANAGERS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180305
05 Mar 2018
|
|
https://crownmanagers.com/
|
|
UB4TRADE
|
Danish Financial Supervisory Authority |
Denmark
|
20180305
05 Mar 2018
|
|
The Danish Financial Supervisory Authority has been informed that UB4TRADE unsolicited has offered to carry out financial services. The company's address is Suite 6, 3rd Floor, 93-99 Mabgate, Leeds, Yorkshire, LS9 7DR, United Kingdom
|
|
GCC
|
Danish Financial Supervisory Authority |
Denmark
|
20180305
05 Mar 2018
|
|
The Danish Financial Supervisory Authority has been informed that GCC Investing unsolicited has offered to carry out financial services. The company's address is Sofia, Bulgaria on the address Patriarch Evtimii No. 49 Prestige Business Center Triadis
more
|
|
Mayfair Trading
|
Financial Market Authority |
Austria
|
20180305
05 Mar 2018
|
|
No additional comments posted.
|
|
Remington Mining
|
Financial Conduct Authority |
United Kingdom
|
20180302
02 Mar 2018
|
|
No additional comments posted.
|
|
Thomas and Gareth Consuulting Group
|
Financial Conduct Authority |
United Kingdom
|
20180302
02 Mar 2018
|
|
No additional comments posted.
|
|
List of cryptocurrency trading platforms
|
Financial Services and Markets Authority |
Belgium
|
20180301
01 Mar 2018
|
|
warning
|
|
Crypto trading platforms
|
Financial Services and Markets Authority |
Belgium
|
20180301
01 Mar 2018
|
|
warning
|
|
Master Class Investments Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20180301
01 Mar 2018
|
|
No additional comments posted.
|
|
Arcadia International
|
Securities and Futures Commission |
Hong Kong
|
20180301
01 Mar 2018
|
|
No additional comments posted.
|
|
Canyon International HK
|
Securities and Futures Commission |
Hong Kong
|
20180301
01 Mar 2018
|
|
No additional comments posted.
|
|
MDF Capital Limited / MDF Trading Limited / Markets Direct Financial Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20180301
01 Mar 2018
|
|
No additional comments posted.
|
|
EWinner Markets Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20180301
01 Mar 2018
|
|
No additional comments posted.
|
|
Inter Markets Service UK Limited / IMS FX Ltd
|
Securities and Futures Commission |
Hong Kong
|
20180301
01 Mar 2018
|
|
No additional comments posted.
|
|
Turtle Finance
|
Securities and Futures Commission |
Hong Kong
|
20180301
01 Mar 2018
|
|
No additional comments posted.
|
|
Techno FX UK Ltd / TechnoFX Limited
|
Securities and Futures Commission |
Hong Kong
|
20180301
01 Mar 2018
|
|
No additional comments posted.
|
|
Shenyang Chenghao Securities Brokerage Co., Ltd
|
Securities and Futures Commission |
Hong Kong
|
20180301
01 Mar 2018
|
|
No additional comments posted.
|
|
Ralph & Susan Limited
|
Securities and Futures Commission |
Hong Kong
|
20180301
01 Mar 2018
|
|
No additional comments posted.
|
|
Fxmarketlivepro Pty Ltd
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180228
28 Feb 2018
|
|
No additional comments posted.
|
|
Sani Consulting SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180228
28 Feb 2018
|
|
No additional comments posted.
|
|
Mitchell Bloch Law Firm
|
Financial Conduct Authority |
United Kingdom
|
20180228
28 Feb 2018
|
|
No additional comments posted.
|
|
www.hbblmw.com
|
Securities and Futures Commission |
Hong Kong
|
20180227
27 Feb 2018
|
|
No additional comments posted.
|
|
Valbury Global Financial Limited
|
Securities and Futures Commission |
Hong Kong
|
20180227
27 Feb 2018
|
|
No additional comments posted.
|
|
Bil Patrimoine
|
Autorité des marchés financiers |
France
|
20180223
23 Feb 2018
|
|
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) are warning the public against the activities of bil patrimoine and the website www.bil-gestionpatrimoine.com proposing investment services and
more
|
|
Uphold
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180223
23 Feb 2018
|
|
No additional comments posted.
|
|
Forthright International Company Limited
|
Securities and Futures Commission |
Hong Kong
|
20180223
23 Feb 2018
|
|
No additional comments posted.
|
|
Unique Global Investment GesbR
|
Financial Market Authority |
Austria
|
20180223
23 Feb 2018
|
|
No additional comments posted.
|
|
Leniex Corporation
|
Financial Market Authority |
Austria
|
20180223
23 Feb 2018
|
|
No additional comments posted.
|
|
AlphaCrypto
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180223
23 Feb 2018
|
|
No additional comments posted.
|
|
Michael Ulrich Hartmann
|
Australian Securities and Investments Commission |
Australia
|
20180222
22 Feb 2018
|
|
No additional comments posted.
|
|
Cryp Trade Capital Holdings SL
|
British Columbia Securities Commission |
British Columbia
|
20180222
22 Feb 2018
|
|
No additional comments posted.
|
|
TDC Property Development
|
Financial Conduct Authority |
United Kingdom
|
20180222
22 Feb 2018
|
|
No additional comments posted.
|
|
Global Ace Investment Limited
|
Central Bank of Ireland |
Ireland
|
20180222
22 Feb 2018
|
|
Global Ace Investment Limited is not authorized to provide investment services in Ireland. The firm purports to be based in Hong Kong.
|
|
State Bridge Partners
|
Securities and Futures Commission |
Hong Kong
|
20180222
22 Feb 2018
|
|
No additional comments posted.
|
|
Shinhan Daiwa Brokerage
|
Securities and Futures Commission |
Hong Kong
|
20180222
22 Feb 2018
|
|
No additional comments posted.
|
|
Hollis Kookmin Financial
|
Securities and Futures Commission |
Hong Kong
|
20180222
22 Feb 2018
|
|
No additional comments posted.
|
|
TSB Wealth
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180221
21 Feb 2018
|
|
No additional comments posted.
|
|
www.fcztc6.com
|
Securities and Futures Commission |
Hong Kong
|
20180221
21 Feb 2018
|
|
No additional comments posted.
|
|
Blackthorn Wealth Advisory
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180221
21 Feb 2018
|
|
No additional comments posted.
|
|
TSB Wealth Advisory (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180220
20 Feb 2018
|
|
No additional comments posted.
|
|
AdMark Media AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180220
20 Feb 2018
|
|
No additional comments posted.
|
|
Cross Ocean Adviser
|
Australian Securities and Investments Commission |
Australia
|
20180220
20 Feb 2018
|
|
No additional comments posted.
|
|
Knight & McKenzie Partners
|
Australian Securities and Investments Commission |
Australia
|
20180220
20 Feb 2018
|
|
No additional comments posted.
|
|
FMCapitals (AKA Genum Ltd)
|
Australian Securities and Investments Commission |
Australia
|
20180220
20 Feb 2018
|
|
Link for Genum Ltd
more
|
|
Infinity Partners Limited (aka Infinity Holdings Ltd)
|
Australian Securities and Investments Commission |
Australia
|
20180220
20 Feb 2018
|
|
Link for Infinity Holdings Ltd
more
|
|
VBM Capital Partners
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180219
19 Feb 2018
|
|
No additional comments posted.
|
|
United Capital Group
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180219
19 Feb 2018
|
|
No additional comments posted.
|
|
Vortex Profits Limited
|
Central Bank of Ireland |
Ireland
|
20180219
19 Feb 2018
|
|
Vortex Profits Limited is not authorized to provide investment services in Ireland. The firm purports to be based in Ireland.
|
|
TRADES PRIME / BLACK PARROT LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180219
19 Feb 2018
|
|
http://www.tradesprime.com/
|
|
Meridian Financial Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180215
15 Feb 2018
|
|
No additional comments posted.
|
|
KESF Private Asset Management, Inc.
|
Financial Market Authority |
Austria
|
20180215
15 Feb 2018
|
|
No additional comments posted.
|
|
Energy Advice Group
|
Financial Conduct Authority |
United Kingdom
|
20180212
12 Feb 2018
|
|
No additional comments posted.
|
|
Iron Eagle Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20180212
12 Feb 2018
|
|
No additional comments posted.
|
|
ProfitTrade24
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180212
12 Feb 2018
|
|
No additional comments posted.
|
|
信合國際投資有限公司 [Chinese name only]
|
Securities and Futures Commission |
Hong Kong
|
20180212
12 Feb 2018
|
|
No additional comments posted.
|
|
OLM Financial
|
Autorité des marchés financiers |
Quebec
|
20180209
09 Feb 2018
|
|
No additional comments posted.
|
|
Corporation de Capital Swap inc.
|
Autorité des marchés financiers |
Quebec
|
20180209
09 Feb 2018
|
|
New information obtained by the AMF indicates that two individuals are reportedly promoting their new company named Corporation de Capital Swap inc.
|
|
Mayford Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20180209
09 Feb 2018
|
|
No additional comments posted.
|
|
International Finance Commission
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180208
08 Feb 2018
|
|
No additional comments posted.
|
|
Abucoins Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20180208
08 Feb 2018
|
|
No additional comments posted.
|
|
BitBay Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20180208
08 Feb 2018
|
|
No additional comments posted.
|
|
Levine & Levine Law Specialists
|
Securities and Futures Commission |
Hong Kong
|
20180208
08 Feb 2018
|
|
No additional comments posted.
|
|
New York Regulatory Division
|
Securities and Futures Commission |
Hong Kong
|
20180208
08 Feb 2018
|
|
No additional comments posted.
|
|
Alpha Consulting
|
Securities and Futures Commission |
Hong Kong
|
20180208
08 Feb 2018
|
|
No additional comments posted.
|
|
Hongta Securities Co., Ltd.
|
Securities and Futures Commission |
Hong Kong
|
20180208
08 Feb 2018
|
|
No additional comments posted.
|
|
Haefen Capital
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20180207
07 Feb 2018
|
|
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Haefen Capital. This company is a suspected boiler room. Haefen Capital has approached persons without being asked, to offer them investment propo
more
|
|
Schalom & Gerson
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180206
06 Feb 2018
|
|
No additional comments posted.
|
|
International Markets Live
|
Financial Services and Markets Authority |
Belgium
|
20180206
06 Feb 2018
|
|
warning
|
|
Braxton Knight Ltd
|
Financial Conduct Authority |
United Kingdom
|
20180205
05 Feb 2018
|
|
No additional comments posted.
|
|
GoldTech Media Services OU trading as S2Trade
|
Financial Conduct Authority |
United Kingdom
|
20180205
05 Feb 2018
|
|
No additional comments posted.
|
|
Blackthorn Wealth Advisory
|
Financial Conduct Authority |
United Kingdom
|
20180205
05 Feb 2018
|
|
No additional comments posted.
|
|
www.vilgorcapital.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180205
05 Feb 2018
|
|
No additional comments posted.
|
|
CARTER FINANCIAL SERVICES / AGENCIA MARKETING LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180205
05 Feb 2018
|
|
No additional comments posted.
|
|
EASY LINE PRO / MEDIA GROUP LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180205
05 Feb 2018
|
|
Related with BALI LIMITED, LTD
|
|
Rutherford Franklin Ltd
|
Australian Securities and Investments Commission |
Australia
|
20180205
05 Feb 2018
|
|
No additional comments posted.
|
|
Green Oak Limited (AKA Roiteks)
|
Australian Securities and Investments Commission |
Australia
|
20180205
05 Feb 2018
|
|
The link for Roiteks is as follows https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/r/roiteks
|
|
Allied Capital Management L.P
|
Australian Securities and Investments Commission |
Australia
|
20180205
05 Feb 2018
|
|
No additional comments posted.
|
|
Cordell Groves
|
Financial Conduct Authority |
United Kingdom
|
20180202
02 Feb 2018
|
|
No additional comments posted.
|
|
BIL Patrimoine
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180131
31 Jan 2018
|
|
No additional comments posted.
|
|
Sterling Bishop Associates
|
Financial Conduct Authority |
United Kingdom
|
20180131
31 Jan 2018
|
|
No additional comments posted.
|
|
Miller and Cohen
|
Financial Conduct Authority |
United Kingdom
|
20180131
31 Jan 2018
|
|
No additional comments posted.
|
|
Marathon Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20180131
31 Jan 2018
|
|
Clone of FCA authorised firm
|
|
Multi Month Loans (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180131
31 Jan 2018
|
|
No additional comments posted.
|
|
Hamilton Crawford
|
Financial Market Authority |
Austria
|
20180131
31 Jan 2018
|
|
No additional comments posted.
|
|
MasonBaxter
|
Financial Market Authority |
Austria
|
20180131
31 Jan 2018
|
|
No additional comments posted.
|
|
Liontrust Asset Management (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20180131
31 Jan 2018
|
|
No additional comments posted.
|
|
Time Rich China
|
Securities and Futures Commission |
Hong Kong
|
20180131
31 Jan 2018
|
|
No additional comments posted.
|
|
http://trfinance.hk
|
Securities and Futures Commission |
Hong Kong
|
20180131
31 Jan 2018
|
|
No additional comments posted.
|
|
Allied Capital Management L.P.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180129
29 Jan 2018
|
|
No additional comments posted.
|
|
Anton Falk Capital Partners
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180129
29 Jan 2018
|
|
No additional comments posted.
|
|
FOREXMILIONSL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180129
29 Jan 2018
|
|
www.forexmilionsl.es
more
|
|
Atlantic Gobal Asset Management
|
British Columbia Securities Commission |
British Columbia
|
20180126
26 Jan 2018
|
|
No additional comments posted.
|
|
uTrader and Day Dream Investments Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20180126
26 Jan 2018
|
|
No additional comments posted.
|
|
Asia & Pacific Holdings Inc.
|
British Columbia Securities Commission |
British Columbia
|
20180126
26 Jan 2018
|
|
No additional comments posted.
|
|
USI-TECH Limited
|
British Columbia Securities Commission |
British Columbia
|
20180126
26 Jan 2018
|
|
No additional comments posted.
|
|
Lionstradefx.com
|
British Columbia Securities Commission |
British Columbia
|
20180126
26 Jan 2018
|
|
No additional comments posted.
|
|
BitPlay Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20180126
26 Jan 2018
|
|
No additional comments posted.
|
|
Aidan Trading
|
British Columbia Securities Commission |
British Columbia
|
20180126
26 Jan 2018
|
|
No additional comments posted.
|
|
Hush
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180126
26 Jan 2018
|
|
No additional comments posted.
|
|
GQM International Group Co., Limited
|
Securities and Futures Commission |
Hong Kong
|
20180126
26 Jan 2018
|
|
No additional comments posted.
|
|
China International Futures
|
Securities and Futures Commission |
Hong Kong
|
20180125
25 Jan 2018
|
|
No additional comments posted.
|
|
China International Futures
|
Securities and Futures Commission |
Hong Kong
|
20180125
25 Jan 2018
|
|
No additional comments posted.
|
|
http://gjs.chuangak.cn/web/zhyi
|
Securities and Futures Commission |
Hong Kong
|
20180125
25 Jan 2018
|
|
No additional comments posted.
|
|
Rothmann & Ginst
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180124
24 Jan 2018
|
|
No additional comments posted.
|
|
Global Multi-Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20180124
24 Jan 2018
|
|
No additional comments posted.
|
|
Cross Ocean Adviser
|
Financial Conduct Authority |
United Kingdom
|
20180124
24 Jan 2018
|
|
No additional comments posted.
|
|
BENSON BROKERAGE LTD.
|
Financial Market Authority |
Austria
|
20180124
24 Jan 2018
|
|
No additional comments posted.
|
|
香港民眾國際期貨交易中心 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20180124
24 Jan 2018
|
|
No additional comments posted.
|
|
www.minzhong279.com
|
Securities and Futures Commission |
Hong Kong
|
20180124
24 Jan 2018
|
|
No additional comments posted.
|
|
Algor Invest S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20180123
23 Jan 2018
|
|
No additional comments posted.
|
|
EJS Gesrion D’actifs / EJS Placements Financiers (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180122
22 Jan 2018
|
|
No additional comments posted.
|
|
Toronto Sumitomo Trading International (TST International) and ATB Holdings
|
Danish Financial Supervisory Authority |
Denmark
|
20180122
22 Jan 2018
|
|
The Danish Financial Supervisory Authority has been informed that the companies TST International and ATB Holdings unsolicited has offered to carry out financial services. The companies has been informed to have ties to one another.
more
|
|
Hui Yao International (Hong Kong)
|
Securities and Futures Commission |
Hong Kong
|
20180122
22 Jan 2018
|
|
No additional comments posted.
|
|
Hongkong Enterprise Equity Transfer Management System Center Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20180122
22 Jan 2018
|
|
No additional comments posted.
|
|
Royce Equity Management
|
Securities and Futures Commission |
Hong Kong
|
20180122
22 Jan 2018
|
|
No additional comments posted.
|
|
GVQ Investment Funds (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180119
19 Jan 2018
|
|
Clone of FCA authorised firm
|
|
Robert Brooks Ltd
|
Financial Conduct Authority |
United Kingdom
|
20180119
19 Jan 2018
|
|
Clone of a UK registered company.
|
|
Bembridge Assurance
|
Financial Conduct Authority |
United Kingdom
|
20180119
19 Jan 2018
|
|
No additional comments posted.
|
|
London Private Finance Ltd (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180119
19 Jan 2018
|
|
Clone of an FCA authorised firm
|
|
Desert Finance Services Limited, t/a Desert Finance (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180119
19 Jan 2018
|
|
Clone of an FCA registered firm
|
|
Lolly Loans PVT Ltd (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180119
19 Jan 2018
|
|
Clone of an FCA authorised firm with this name as a registered trading style.
|
|
Swish Loans (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180119
19 Jan 2018
|
|
Clone of an FCA authorised firm with this name as a registered trading style.
|
|
iCash Loans, ICashLoans (clone)
|
Financial Conduct Authority |
United Kingdom
|
20180119
19 Jan 2018
|
|
Clone of an FCA authorised firm with this name as a registered trading style.
|
|
53 Capital Trade
|
Financial Conduct Authority |
United Kingdom
|
20180119
19 Jan 2018
|
|
No additional comments posted.
|
|
TraderVC
|
Financial Conduct Authority |
United Kingdom
|
20180119
19 Jan 2018
|
|
No additional comments posted.
|
|
Markets Trading Ltd
|
Financial Conduct Authority |
United Kingdom
|
20180119
19 Jan 2018
|
|
No additional comments posted.
|
|
Shinhan Daiwa Brokerage
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20180117
17 Jan 2018
|
|
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Shinhan Daiwa Brokerage. This company is a suspected boiler room. Shinhan Daiwa Brokerage has approached persons without being asked, to offer th
more
|
|
PRIME ADMIN SERVICES
|
Financial Conduct Authority |
United Kingdom
|
20180117
17 Jan 2018
|
|
No additional comments posted.
|
|
Schmidt Karl Ludwig
|
Securities and Futures Commission |
Hong Kong
|
20180117
17 Jan 2018
|
|
No additional comments posted.
|
|
Birch Century International
|
Securities and Futures Commission |
Hong Kong
|
20180117
17 Jan 2018
|
|
No additional comments posted.
|
|
TRADING GANADOR / TRADING DE GANADORES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180115
15 Jan 2018
|
|
No additional comments posted.
|
|
FIVE WINDS ASSET MANAGEMENT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180115
15 Jan 2018
|
|
Related with QUESTRA WORLD GLOBAL SL (https://questraworld.es/)
more
|
|
HIT BROKING PLC (GOLDEN INVESTMENTS)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180115
15 Jan 2018
|
|
No additional comments posted.
|
|
QUESTRA WORLD GLOBAL SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180115
15 Jan 2018
|
|
Related with QW LIANORA SWISS CONSULTING SA (https://lianoraswiss.com)
more
|
|
QW LIANORA SWISS CONSULTING SA
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180115
15 Jan 2018
|
|
Related with QUESTRA WORLD GLOBAL SL (https://questraworld.es/)
more
|
|
INTERNATIONAL MARKETS LIFE LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20180115
15 Jan 2018
|
|
No additional comments posted.
|
|
EasyPro Loans
|
Financial Conduct Authority |
United Kingdom
|
20180115
15 Jan 2018
|
|
No additional comments posted.
|
|
中融國際期貨服務有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20180115
15 Jan 2018
|
|
No additional comments posted.
|
|
Hamilton Wealth Advisors
|
Securities and Futures Commission |
Hong Kong
|
20180115
15 Jan 2018
|
|
No additional comments posted.
|
|
Imperium Ltd (FXImperium)
|
Polish Financial Supervision Authority |
Poland
|
20180112
12 Jan 2018
|
|
No additional comments posted.
|
|
SLB Group AG (Swiss Legit Bank)
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20180111
11 Jan 2018
|
|
No additional comments posted.
|
|
Attempted fraud misusing the name and logo of FSMA
|
Financial Services and Markets Authority |
Belgium
|
20180109
09 Jan 2018
|
|
warning
|
|
Banque Eni
|
Financial Services and Markets Authority |
Belgium
|
20180109
09 Jan 2018
|
|
warning
|
|
Efexa 1000 Ltd.
|
Czech National Bank |
Czech Republic
|
20180108
08 Jan 2018
|
|
Efexa 1000 Ltd. has no authorisation to provide investment or any other services on the Czech financial market and is not supervised by the Czech National Bank. Any investment is not subject to statutory insurance.
|
|
Trinity Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20180105
05 Jan 2018
|
|
No additional comments posted.
|
|
Wageme (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180105
05 Jan 2018
|
|
No additional comments posted.
|
|
FG Global Enrich Limited
|
Securities and Futures Commission |
Hong Kong
|
20180105
05 Jan 2018
|
|
No additional comments posted.
|
|
Trustee Credit Savings Bank
|
Financial Conduct Authority |
United Kingdom
|
20180104
04 Jan 2018
|
|
No additional comments posted.
|
|
Gajan Insurance and Technological Resources
|
Jersey Financial Services Commission |
Jersey
|
20180103
03 Jan 2018
|
|
No additional comments posted.
|
|
Loan House UK (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20180102
02 Jan 2018
|
|
No additional comments posted.
|
|
Unauthorised websites offering Forex investments
|
Autorité des marchés financiers |
France
|
20180102
02 Jan 2018
|
|
The French AMF and ACPR have updated the list of websites and entities offering forex investments without being authorised to do so.
|
|
Unauthorised websites offering diamond investments
|
Autorité des marchés financiers |
France
|
20180102
02 Jan 2018
|
|
The French AMF is publishing an update to the list of websites offering diamond investments, for which no authorized investment services provider could be clearly identified.
|
|
International Markets Live ltd
|
Autorité des marchés financiers |
France
|
20180102
02 Jan 2018
|
|
The French AMF has issued a warning against the activities of International Markets Live Ltd (IMarketsLive), which offers investors, specifically targeting very young people, including high school students, subscriptions to various training courses
more
|
|
Crypto Brain
|
Financial Conduct Authority |
United Kingdom
|
20180102
02 Jan 2018
|
|
No additional comments posted.
|
|
First Federal Securities (Cayman) Limited
|
Securities and Futures Commission |
Hong Kong
|
20180102
02 Jan 2018
|
|
No additional comments posted.
|
|
Zavori Financial Group (Asia) Limited
|
Securities and Futures Commission |
Hong Kong
|
20180102
02 Jan 2018
|
|
No additional comments posted.
|
|
TCV & PARTNERS
|
Financial Market Authority |
Austria
|
20171228
28 Dec 2017
|
|
No additional comments posted.
|
|
Rothmann & Ginst
|
Financial Market Authority |
Austria
|
20171228
28 Dec 2017
|
|
No additional comments posted.
|
|
Kyburg Financial GmbH
|
Central Bank of Ireland |
Ireland
|
20171222
22 Dec 2017
|
|
Kyburg Financial GmbH is not authorized to provide investment services in Ireland. The firm purports to be based in Ireland.
|
|
Spot2Trade Ltd
|
Financial Market Authority |
Austria
|
20171222
22 Dec 2017
|
|
No additional comments posted.
|
|
Axeworth Securities
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171222
22 Dec 2017
|
|
No additional comments posted.
|
|
offers of investment in diamond
|
Financial Services and Markets Authority |
Belgium
|
20171220
20 Dec 2017
|
|
warning
|
|
EXO CAPITAL MARKETS LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171220
20 Dec 2017
|
|
web WWW.TRADE12.COM
|
|
TIBURON CORPORATION LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171220
20 Dec 2017
|
|
web HTTPS://BINOMO.COM
|
|
Hansa Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20171219
19 Dec 2017
|
|
Clone of FCA authorised firm
|
|
Axeworth Securities
|
Financial Conduct Authority |
United Kingdom
|
20171219
19 Dec 2017
|
|
No additional comments posted.
|
|
World Trade Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171219
19 Dec 2017
|
|
No additional comments posted.
|
|
Swiss Assets FX Finance LTD
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171219
19 Dec 2017
|
|
No additional comments posted.
|
|
Epargne Banque
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20171218
18 Dec 2017
|
|
No additional comments posted.
|
|
Hollis Kookmin Financial
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20171218
18 Dec 2017
|
|
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Hollis Kookmin Financial. This company is a suspected boiler room. Hollis Kookmin Financial has approached persons without being asked, to offer
more
|
|
Cradle Heights
|
Securities and Futures Commission |
Hong Kong
|
20171218
18 Dec 2017
|
|
No additional comments posted.
|
|
Sentinel Group
|
Superintendencia del Mercado de Valores |
Panama
|
20171215
15 Dec 2017
|
|
company not registered
|
|
Orocrypt
|
Superintendencia del Mercado de Valores |
Panama
|
20171215
15 Dec 2017
|
|
company not registered
|
|
IMARKETS LIVE
|
Superintendencia del Mercado de Valores |
Panama
|
20171215
15 Dec 2017
|
|
Company Not Registered
|
|
unauthorised websites offering binary options trading
|
Autorité des marchés financiers |
France
|
20171215
15 Dec 2017
|
|
The French AMF has updated its list of unauthorised websites offering trading in binary options.
|
|
The Capital Advisory Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171215
15 Dec 2017
|
|
No additional comments posted.
|
|
Bulwark Insurance
|
Financial Conduct Authority |
United Kingdom
|
20171214
14 Dec 2017
|
|
No additional comments posted.
|
|
Revive Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20171214
14 Dec 2017
|
|
No additional comments posted.
|
|
New York Law Specialists
|
Financial Conduct Authority |
United Kingdom
|
20171214
14 Dec 2017
|
|
No additional comments posted.
|
|
Carus Solutions Ltd
|
Financial Conduct Authority |
United Kingdom
|
20171214
14 Dec 2017
|
|
No additional comments posted.
|
|
Olympia Capital Exchange
|
Securities and Futures Commission |
Hong Kong
|
20171214
14 Dec 2017
|
|
No additional comments posted.
|
|
STALIS SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171213
13 Dec 2017
|
|
No additional comments posted.
|
|
247 OPTIONS TRADE
|
Financial Services Commission |
Mauritius
|
20171213
13 Dec 2017
|
|
No additional comments posted.
|
|
Goldbrigde Fund Management (clone)
|
Financial Conduct Authority |
United Kingdom
|
20171212
12 Dec 2017
|
|
Cloning details of EEA authorised firm.
|
|
Howland Law Firm / Howland Law LLP
|
Financial Conduct Authority |
United Kingdom
|
20171212
12 Dec 2017
|
|
No additional comments posted.
|
|
Primecfds / WM Option / Orion Solution SRL
|
Finansinspektionen |
Sweden
|
20171212
12 Dec 2017
|
|
No additional comments posted.
|
|
Vogel Capital / Commercial Support LP
|
Finansinspektionen |
Sweden
|
20171212
12 Dec 2017
|
|
No additional comments posted.
|
|
Regal Investment / Regal Investment LLC
|
Securities and Futures Commission |
Hong Kong
|
20171212
12 Dec 2017
|
|
No additional comments posted.
|
|
PANDORX VENTURES LTD/CMS VENTURES LTD/SAFE SIDE CONSULTING LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
SEÑALES 365
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
BT SYSTEMS LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
BAUMANN AND KRAUS ENTERPRISES LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Securities Regulatory Commission
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Financial Plus Limited
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
Also known as Financial Plus HK
|
|
Nona Marketing Ltd
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
Also known as FTO Capital
|
|
BNP Forex Limited
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Elevated Financial Services
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
Also known as Elevated Loan Services
|
|
CF Marketing Group Ltd
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Pioneer Equity Acquisition
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
L-V Partners
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
FM-FX
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Cooperative Fair Investment
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Bridge Capital Advisors
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Pearl Asia Holdings Limited
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Imperial Equity Holdings
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Hamilton Wealth Advisors
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Jacob Morgan Investment House
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Cathay DuPont Limited
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Empire Capital Partners
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Prime CFDs
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
Formerly known as WMoption, owned by Orion Solutions SRL
|
|
Koenig Rowe – Campbell Alliance
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Reinhard Hofer International
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
Also known as Reinhard Hofer Venture Partners
|
|
JJ Matthias Asset Management
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Royce Equity Management
|
Australian Securities and Investments Commission |
Australia
|
20171211
11 Dec 2017
|
|
No additional comments posted.
|
|
Amundi Asset Management (Clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20171208
08 Dec 2017
|
|
Clone of EEA authorised firm
|
|
Asset Link International
|
Financial Conduct Authority |
United Kingdom
|
20171208
08 Dec 2017
|
|
No additional comments posted.
|
|
Cybertrust S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20171207
07 Dec 2017
|
|
No additional comments posted.
|
|
www.international-trading.com
|
Financial Market Authority |
Austria
|
20171207
07 Dec 2017
|
|
No additional comments posted.
|
|
Coverdeal Holdings Limited
|
Polish Financial Supervision Authority |
Poland
|
20171207
07 Dec 2017
|
|
No additional comments posted.
|
|
Mianchang Financial Holdings Hong Kong Limited
|
Securities and Futures Commission |
Hong Kong
|
20171207
07 Dec 2017
|
|
No additional comments posted.
|
|
Loan Syndicate
|
Financial Services and Markets Authority |
Belgium
|
20171207
07 Dec 2017
|
|
warning
|
|
TAYLOR & CLARK / TAYLOR AND CLARK / TC WEALTH
|
Financial Conduct Authority |
United Kingdom
|
20171206
06 Dec 2017
|
|
No additional comments posted.
|
|
ADN UK Finance (CLONE)
|
Financial Conduct Authority |
United Kingdom
|
20171206
06 Dec 2017
|
|
No additional comments posted.
|
|
Independence Loans (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20171205
05 Dec 2017
|
|
No additional comments posted.
|
|
Oakfair Investment L.L.C. / Oakfair Investment
|
Securities and Futures Commission |
Hong Kong
|
20171205
05 Dec 2017
|
|
No additional comments posted.
|
|
Affordable Loans
|
Financial Conduct Authority |
United Kingdom
|
20171204
04 Dec 2017
|
|
Clone of an FCA authorised firm
|
|
Integral 2DJ Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20171204
04 Dec 2017
|
|
No additional comments posted.
|
|
Kancelaria Finansowa AWB Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20171204
04 Dec 2017
|
|
No additional comments posted.
|
|
Diamond Global Solutions SRL (yesoption.com)
|
Financial Market Authority |
Austria
|
20171204
04 Dec 2017
|
|
No additional comments posted.
|
|
Chesterfield International Partners
|
Financial Conduct Authority |
United Kingdom
|
20171201
01 Dec 2017
|
|
No additional comments posted.
|
|
Unauthorised websites offering investment in miscellaneous assets
|
Autorité des marchés financiers |
France
|
20171201
01 Dec 2017
|
|
The French Autorité des marchés financiers (AMF) is publishing a list on its website of companies proposing atypical investments without being authorized to do so.
more
|
|
Hume Capital
|
Financial Conduct Authority |
United Kingdom
|
20171201
01 Dec 2017
|
|
Clone of FCA authorised firm
|
|
CMS Trader-FXANDCO-iFT Advisory Group-Kin Capital-Markets Broker-Shtern Group-SLS Trade-Swiss Royal Banc-Trade 24-Trade V
|
Financial Services and Markets Authority |
Belgium
|
20171201
01 Dec 2017
|
|
warning 'Binary Options'
|
|
Ashida Associates-Sapporo International-Tokai National Partners
|
Financial Services and Markets Authority |
Belgium
|
20171201
01 Dec 2017
|
|
warning 'boiler rooms'
|
|
OTM Capital
|
Danish Financial Supervisory Authority |
Denmark
|
20171201
01 Dec 2017
|
|
The Danish Financial Supervisory Authority has been informed that OTM Capital. unsolicited has offered to carry out financial services. The company's address is according to the website Tuborg Blvd 13, 2900 Hellerup, Denmark. However, the Danish Fina
more
|
|
Website "crowd-partners.com
|
Autorité des marchés financiers |
France
|
20171130
30 Nov 2017
|
|
The French AMF has published a warning regarding the activities of the website https://crowd-partners.com/ which encourages savers to invest in various fraudulent investment solutions and abusively uses the label "Plate-forme de financement participa
more
|
|
Evo Binary Switzerland
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171130
30 Nov 2017
|
|
No additional comments posted.
|
|
Royal Pacific International
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171130
30 Nov 2017
|
|
No additional comments posted.
|
|
The Capital Advisory Group
|
Central Bank of Ireland |
Ireland
|
20171130
30 Nov 2017
|
|
The Capital Advisory Group is not authorized to provide investment services in Ireland. The firm purports to be based in Ireland.
|
|
IRON FX FINANCIAL SERVICES LIMITED/ IRON FX GLOBAL LIMITED
|
Comisión Nacional de Valores |
Argentina
|
20171130
30 Nov 2017
|
|
No additional comments posted
|
|
Swissmine
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171130
30 Nov 2017
|
|
No additional comments posted.
|
|
UBSOPTION – swissbinarytrading.com
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171130
30 Nov 2017
|
|
No additional comments posted.
|
|
Michael Ulrich Hartmann
|
Financial Conduct Authority |
United Kingdom
|
20171129
29 Nov 2017
|
|
Clone of EEA Authorised Firm
|
|
MBQ International Incorporated
|
Financial Conduct Authority |
United Kingdom
|
20171129
29 Nov 2017
|
|
No additional comments posted.
|
|
American Landscape LLC
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171129
29 Nov 2017
|
|
No additional comments posted.
|
|
STX Global Limited t/a STX Markets
|
Financial Conduct Authority |
United Kingdom
|
20171129
29 Nov 2017
|
|
No additional comments posted.
|
|
Brokers Option
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171128
28 Nov 2017
|
|
No additional comments posted.
|
|
Intima Invest
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171128
28 Nov 2017
|
|
No additional comments posted.
|
|
Capital Force Ltd (Option888)
|
Financial Market Authority |
Austria
|
20171127
27 Nov 2017
|
|
No additional comments posted.
|
|
SolidCFD
|
Danish Financial Supervisory Authority |
Denmark
|
20171127
27 Nov 2017
|
|
The Danish Financial Supervisory Authority has been informed that SolidCFD unsolicited has offered to carry out financial services. The company's address is 1 Suite 368, Lansdowne Row, London, W1J 6HL, United Kingdom,
|
|
Jet Technology Limited (aka JETFX)
|
Securities and Futures Commission |
Hong Kong
|
20171127
27 Nov 2017
|
|
No additional comments posted.
|
|
GLOB CAPITAL LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171127
27 Nov 2017
|
|
No additional comments posted.
|
|
EPIC VENTURES LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171127
27 Nov 2017
|
|
No additional comments posted.
|
|
INNOWAY Project Ltd
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171127
27 Nov 2017
|
|
No additional comments posted.
|
|
Hush
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20171127
27 Nov 2017
|
|
No additional comments posted.
|
|
Maxwell Financial Services
|
Central Bank of Ireland |
Ireland
|
20171124
24 Nov 2017
|
|
Maxwell Financial Services is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Global Financial Protection Commission
|
Central Bank of Ireland |
Ireland
|
20171124
24 Nov 2017
|
|
Global Financial Protection Commission is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Akanagi Group
|
Financial Market Authority |
Austria
|
20171124
24 Nov 2017
|
|
No additional comments posted.
|
|
Rising International Management Company Limited
|
Securities and Futures Commission |
Hong Kong
|
20171123
23 Nov 2017
|
|
No additional comments posted.
|
|
Redthorne Realisations Limited t/a Redthorne Markets
|
Financial Conduct Authority |
United Kingdom
|
20171122
22 Nov 2017
|
|
No additional comments posted.
|
|
MAGOS AI
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171121
21 Nov 2017
|
|
No additional comments posted.
|
|
Eastern Land Capital Partners Limited
|
Securities and Futures Commission |
Hong Kong
|
20171121
21 Nov 2017
|
|
No additional comments posted.
|
|
GTI Net
|
Financial Services and Markets Authority |
Belgium
|
20171120
20 Nov 2017
|
|
warning
|
|
Tokai National Partners
|
Securities and Futures Commission |
Hong Kong
|
20171120
20 Nov 2017
|
|
No additional comments posted.
|
|
WWW.FOREXTRADING.CAT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171120
20 Nov 2017
|
|
No additional comments posted.
|
|
WWW.FOREX.CAT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171120
20 Nov 2017
|
|
No additional comments posted.
|
|
Credit Suisse Financial
|
Securities and Futures Commission |
Hong Kong
|
20171117
17 Nov 2017
|
|
No additional comments posted.
|
|
Spot Capital Markets Ltd
|
Polish Financial Supervision Authority |
Poland
|
20171115
15 Nov 2017
|
|
No additional comments posted.
|
|
www.zuerchercapital.com
|
Financial Market Authority |
Austria
|
20171115
15 Nov 2017
|
|
No additional comments posted.
|
|
Amicus Investment Ltd.
|
Financial Market Authority |
Austria
|
20171115
15 Nov 2017
|
|
No additional comments posted.
|
|
LT Global Ltd / LT7 Global Ltd
|
Securities and Futures Commission |
Hong Kong
|
20171115
15 Nov 2017
|
|
No additional comments posted.
|
|
FXBTG Financial Limited
|
Securities and Futures Commission |
Hong Kong
|
20171113
13 Nov 2017
|
|
No additional comments posted.
|
|
Prime Asset Capital
|
Securities and Futures Commission |
Hong Kong
|
20171113
13 Nov 2017
|
|
No additional comments posted.
|
|
Richardson & Russell Holdings
|
Securities and Futures Commission |
Hong Kong
|
20171113
13 Nov 2017
|
|
No additional comments posted.
|
|
RNK Global
|
Securities and Futures Commission |
Hong Kong
|
20171113
13 Nov 2017
|
|
No additional comments posted.
|
|
Elon Global Strategy Co., Limited
|
Securities and Futures Commission |
Hong Kong
|
20171113
13 Nov 2017
|
|
No additional comments posted.
|
|
Vortex Assets Limited
|
Securities and Futures Commission |
Hong Kong
|
20171113
13 Nov 2017
|
|
No additional comments posted.
|
|
ZYWealth
|
Securities and Futures Commission |
Hong Kong
|
20171110
10 Nov 2017
|
|
No additional comments posted.
|
|
International Trading
|
Securities and Futures Commission |
Hong Kong
|
20171110
10 Nov 2017
|
|
No additional comments posted.
|
|
Spencer Associates Limited
|
Securities and Futures Commission |
Hong Kong
|
20171109
09 Nov 2017
|
|
No additional comments posted.
|
|
Levine & Levine Law Specialists
|
Financial Conduct Authority |
United Kingdom
|
20171108
08 Nov 2017
|
|
No additional comments posted.
|
|
Williams Beacon Advisory Ltd
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20171106
06 Nov 2017
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Whitestone Finance Ltd
|
Jersey Financial Services Commission |
Jersey
|
20171106
06 Nov 2017
|
|
No additional comments posted.
|
|
Algo Capitals/ Algo Capital
|
Securities and Futures Commission |
Hong Kong
|
20171106
06 Nov 2017
|
|
No additional comments posted.
|
|
Amergeris Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20171102
02 Nov 2017
|
|
Clone of an FCA authorised firm
|
|
Six Swiss Exchange Ltd
|
Financial Conduct Authority |
United Kingdom
|
20171102
02 Nov 2017
|
|
No additional comments posted.
|
|
Get My Loans
|
Financial Conduct Authority |
United Kingdom
|
20171102
02 Nov 2017
|
|
No additional comments posted.
|
|
Orbatex AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171101
01 Nov 2017
|
|
No additional comments posted.
|
|
AGC Group / AGC Fund Management
|
Securities Commission |
Malaysia
|
20171101
01 Nov 2017
|
|
No additional comments posted.
|
|
https://onlinefidelityhk.net
|
Securities and Futures Commission |
Hong Kong
|
20171031
31 Oct 2017
|
|
No additional comments posted.
|
|
www.onlinefidelityhk.com
|
Securities and Futures Commission |
Hong Kong
|
20171031
31 Oct 2017
|
|
No additional comments posted.
|
|
https://sxbmarket.com
|
Securities and Futures Commission |
Hong Kong
|
20171031
31 Oct 2017
|
|
No additional comments posted.
|
|
YF Assett Management (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20171030
30 Oct 2017
|
|
Clone of HK registered firm - YF Asset Management Limited.
|
|
TRADEVIEW LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171030
30 Oct 2017
|
|
No additional comments posted.
|
|
GRUPO SECURITAS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171030
30 Oct 2017
|
|
No additional comments posted.
|
|
INTEGRATED MARKETS LLC
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171030
30 Oct 2017
|
|
WWW.INMARKETFX.COM/
|
|
CAAMAR ALTAS FINANZAS/CAAMAR INVERSIONES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171030
30 Oct 2017
|
|
No additional comments posted.
|
|
TRISCA INVESTMENTS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20171030
30 Oct 2017
|
|
No additional comments posted.
|
|
Baker Hamlin
|
Financial Conduct Authority |
United Kingdom
|
20171030
30 Oct 2017
|
|
No additional comments posted.
|
|
Interco Holding AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171027
27 Oct 2017
|
|
No additional comments posted.
|
|
Mars Invest Ltd.
|
Czech National Bank |
Czech Republic
|
20171026
26 Oct 2017
|
Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents) |
The Czech National Bank wishes to point out that Mars Invest Ltd., having its registered office at Global Gateway 8, Rue De La Perle, Providence Mahe, Seychelles, presenting itself through the website http://mars-invest.com/, is offering various inve
more
|
|
Le Pay Bank
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20171025
25 Oct 2017
|
|
No additional comments posted.
|
|
Crown Managers
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20171025
25 Oct 2017
|
|
No additional comments posted.
|
|
Swiss Magnates
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171025
25 Oct 2017
|
|
No additional comments posted.
|
|
Greenshields Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20171024
24 Oct 2017
|
|
No additional comments posted.
|
|
CMC Gao Hua
|
Securities and Futures Commission |
Hong Kong
|
20171024
24 Oct 2017
|
|
No additional comments posted.
|
|
Trading Trinity
|
Financial Conduct Authority |
United Kingdom
|
20171024
24 Oct 2017
|
|
No additional comments posted.
|
|
ECN Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171024
24 Oct 2017
|
|
No additional comments posted.
|
|
Global Capital Recovery
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171024
24 Oct 2017
|
|
No additional comments posted.
|
|
Allen Baker
|
Securities and Futures Commission |
Hong Kong
|
20171024
24 Oct 2017
|
|
No additional comments posted.
|
|
Century Finance/Century Finance Services Limited/ Century Finance UK Limited (clone)
|
Financial Conduct Authority |
United Kingdom
|
20171023
23 Oct 2017
|
|
No additional comments posted.
|
|
Tokai National Partners
|
Danish Financial Supervisory Authority |
Denmark
|
20171023
23 Oct 2017
|
|
The Danish Financial Supervisory Authority has been informed that Tokai National Partners unsolicited has offered to carry out financial services. The company's address is allegedly 19th Floor Akihabara UDX Building, 4-14-1, Soto-Kanda, Chiyoda-ku, T
more
|
|
Britannia Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20171020
20 Oct 2017
|
|
Clone of an FCA Authorised Firm
|
|
www.barclaysprivateoffshore.com/clientaccess/
|
Jersey Financial Services Commission |
Jersey
|
20171020
20 Oct 2017
|
|
No additional comments posted.
|
|
http://qh.98cml.net
|
Securities and Futures Commission |
Hong Kong
|
20171020
20 Oct 2017
|
|
No additional comments posted.
|
|
www.rifagw.com
|
Securities and Futures Commission |
Hong Kong
|
20171020
20 Oct 2017
|
|
No additional comments posted.
|
|
www.rffg.hk
|
Securities and Futures Commission |
Hong Kong
|
20171020
20 Oct 2017
|
|
No additional comments posted.
|
|
Harvest Asset Holdings Ltd
|
Securities and Futures Commission |
Hong Kong
|
20171020
20 Oct 2017
|
|
No additional comments posted.
|
|
GTC Advisors
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171018
18 Oct 2017
|
|
No additional comments posted.
|
|
StackOptions
|
Australian Securities and Investments Commission |
Australia
|
20171018
18 Oct 2017
|
|
Please note that this entity is not registered with or licensed by ASIC.
|
|
AFC Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20171018
18 Oct 2017
|
|
No additional comments posted.
|
|
'fraudulent credit offers'
|
Financial Services and Markets Authority |
Belgium
|
20171017
17 Oct 2017
|
|
warning
|
|
First Skyway Invest Group Limited (Skyway Capital)
|
Financial Services and Markets Authority |
Belgium
|
20171017
17 Oct 2017
|
|
warning
|
|
Fintera
|
Financial Services and Markets Authority |
Belgium
|
20171017
17 Oct 2017
|
|
warning
|
|
Bis Europe
|
Financial Services and Markets Authority |
Belgium
|
20171017
17 Oct 2017
|
|
warning
|
|
Bark Capital Partners
|
Securities and Futures Commission |
Hong Kong
|
20171017
17 Oct 2017
|
|
No additional comments posted.
|
|
Panther Trading International Co (HK)
|
Securities and Futures Commission |
Hong Kong
|
20171017
17 Oct 2017
|
|
No additional comments posted.
|
|
Improvement Loans (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20171016
16 Oct 2017
|
|
No additional comments posted.
|
|
'fraudulent credit offers'
|
Financial Services and Markets Authority |
Belgium
|
20171016
16 Oct 2017
|
|
warning
|
|
Avallon Patrimoine
|
Financial Services and Markets Authority |
Belgium
|
20171016
16 Oct 2017
|
|
warning
|
|
Five Winds Asset Management,QW Lianora Swiss Consulting SA
|
Financial Services and Markets Authority |
Belgium
|
20171016
16 Oct 2017
|
|
warning
|
|
Atlantic Capital Management,Dynamic Target Marketing,MWI Consultants,Premier Capital Group,Sky Way CPA&Co
|
Financial Services and Markets Authority |
Belgium
|
20171016
16 Oct 2017
|
|
warning 'recovery rooms'
|
|
Akamai Group,Ashton Whitely,ATB Holdings,Faiway Capital Investments,Nagaharu Global,Novature Group,Onex Busan Financial,Pacific Chiba Trust
|
Financial Services and Markets Authority |
Belgium
|
20171016
16 Oct 2017
|
|
warning 'boiler rooms'
|
|
Trade Invest 90
|
Financial Services and Markets Authority |
Belgium
|
20171016
16 Oct 2017
|
|
warning
|
|
First Skyway Invest group Limited
|
Financial Services and Markets Authority |
Belgium
|
20171016
16 Oct 2017
|
|
warning
|
|
Lexinta Capital Management Limited/Lexinta Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20171016
16 Oct 2017
|
|
No additional comments posted.
|
|
Sameday Loans / Same Day Loans (clone)
|
Financial Conduct Authority |
United Kingdom
|
20171013
13 Oct 2017
|
|
No additional comments posted.
|
|
Sameday Loans / Same Day Loans (clone)
|
Financial Conduct Authority |
United Kingdom
|
20171013
13 Oct 2017
|
|
No additional comments posted.
|
|
Union Glory Gold Group
|
Securities and Futures Commission |
Hong Kong
|
20171013
13 Oct 2017
|
|
No additional comments posted.
|
|
Takara Global
|
Securities and Futures Commission |
Hong Kong
|
20171013
13 Oct 2017
|
|
No additional comments posted.
|
|
Forest Advisory Service / Forest Hill Management / Forest Investments
|
Financial Conduct Authority |
United Kingdom
|
20171012
12 Oct 2017
|
|
No additional comments posted.
|
|
BCiiC AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171012
12 Oct 2017
|
|
No additional comments posted.
|
|
Aston Wealth
|
Financial Conduct Authority |
United Kingdom
|
20171011
11 Oct 2017
|
|
No additional comments posted.
|
|
Chinatsu & Partners
|
Financial Conduct Authority |
United Kingdom
|
20171011
11 Oct 2017
|
|
No additional comments posted.
|
|
Ellis and Tate
|
Financial Conduct Authority |
United Kingdom
|
20171011
11 Oct 2017
|
|
No additional comments posted.
|
|
Asia Futures Exchange / ASIAFEX
|
Securities and Futures Commission |
Hong Kong
|
20171010
10 Oct 2017
|
|
No additional comments posted.
|
|
Mitsubishi Global
|
Securities and Futures Commission |
Hong Kong
|
20171010
10 Oct 2017
|
|
No additional comments posted.
|
|
Imperial Capital Corporation Limited
|
Securities and Futures Commission |
Hong Kong
|
20171010
10 Oct 2017
|
|
No additional comments posted.
|
|
www.hzzrlp.com/index.php?m=goods&a=details&content_id=125
|
Securities and Futures Commission |
Hong Kong
|
20171010
10 Oct 2017
|
|
No additional comments posted.
|
|
Shitong Futures
|
Securities and Futures Commission |
Hong Kong
|
20171010
10 Oct 2017
|
|
No additional comments posted.
|
|
www.qiniutz.com
|
Securities and Futures Commission |
Hong Kong
|
20171010
10 Oct 2017
|
|
No additional comments posted.
|
|
www.qunyijinrong.com
|
Securities and Futures Commission |
Hong Kong
|
20171010
10 Oct 2017
|
|
No additional comments posted.
|
|
http://zhangjiahua.168tjw.com/contact
|
Securities and Futures Commission |
Hong Kong
|
20171010
10 Oct 2017
|
|
No additional comments posted.
|
|
http://zhan.renren.com/qunyiqihuo?checked=true
|
Securities and Futures Commission |
Hong Kong
|
20171010
10 Oct 2017
|
|
No additional comments posted.
|
|
www.zjxqw.cn/Singlepage.aspx?classId=70
|
Securities and Futures Commission |
Hong Kong
|
20171010
10 Oct 2017
|
|
No additional comments posted.
|
|
CTI China Renaissance
|
Securities and Futures Commission |
Hong Kong
|
20171010
10 Oct 2017
|
|
No additional comments posted.
|
|
Cryp Trade Capital Ltd.
|
Financial Market Authority |
Austria
|
20171010
10 Oct 2017
|
|
No additional comments posted.
|
|
CTI Group Advisors
|
Financial Conduct Authority |
United Kingdom
|
20171009
09 Oct 2017
|
|
No additional comments posted.
|
|
Lions Trading Club ltd.
|
Financial Market Authority |
Austria
|
20171009
09 Oct 2017
|
|
No additional comments posted.
|
|
Gatco Bank PLC
|
Financial Conduct Authority |
United Kingdom
|
20171006
06 Oct 2017
|
|
No additional comments posted.
|
|
OSG Forex / Optimum Standard International Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20171006
06 Oct 2017
|
|
No additional comments posted.
|
|
OCTA MARKETS INCORPORATED,
|
Comissão de Valores Mobiliários |
Brazil
|
20171005
05 Oct 2017
|
|
Not authorized by the CVM of Brazil to perform any activities within the securities market through the page a a http://www.octafx.com
|
|
G44 INTERNATIONAL FZC
|
Comissão de Valores Mobiliários |
Brazil
|
20171005
05 Oct 2017
|
|
Not authorized by the CVM of Brazil to perform any activities within the securities market through the page a http://www.forexent.com
|
|
ACESSOMUNDI S.A CREDITO, FINANCIAMENTO E INVESTIMENTOS
|
Comissão de Valores Mobiliários |
Brazil
|
20171005
05 Oct 2017
|
|
Not authorized by the CVM of Brazil to offer investment opportunities to Brazilian Residents by any means, (online or other).
more
|
|
EXO CAPITAL MARKETS LTD (TRADE 12)
|
Comissão de Valores Mobiliários |
Brazil
|
20171005
05 Oct 2017
|
|
Not authorized by the CVM of Brazil to offer investment opportunities to Brazilian Residents by any means, (online or other)
more
|
|
QW Lianora Swiss Consulting SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20171005
05 Oct 2017
|
|
No additional comments posted.
|
|
Osbourne Mulligan Consulting
|
Financial Conduct Authority |
United Kingdom
|
20171004
04 Oct 2017
|
|
No additional comments posted.
|
|
Chinatsu and Partners
|
Central Bank of Ireland |
Ireland
|
20171004
04 Oct 2017
|
|
Chinatsu and Partners is not authorized to provide investment services in Ireland. The firm purports to be based in Japan.
|
|
Questra World, Questra Holdings and Atlantic Global Asset Management
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20171004
04 Oct 2017
|
|
Consob has adopted two measures prohibiting the advertisement of the public offer promoted by the companies Questra World, Questra Holdings and Atlantic Global Asset Management, concerning financial investments.
more
|
|
West Pacific Dealers
|
Financial Market Authority |
Austria
|
20171003
03 Oct 2017
|
|
No additional comments posted.
|
|
Lend Mutual (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20171002
02 Oct 2017
|
|
No additional comments posted.
|
|
IFT Advisory Group
|
Central Bank of Ireland |
Ireland
|
20170929
29 Sep 2017
|
|
IFT Advisory Group is not authorized to provide investment services in Ireland. The firm purports to be based in Ireland.
|
|
AMAC Mortgages & Loan Ltd (clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20170928
28 Sep 2017
|
|
No additional comments posted.
|
|
CAL Investments Ltd (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20170928
28 Sep 2017
|
|
No additional comments posted.
|
|
Instant Lolly (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170927
27 Sep 2017
|
|
No additional comments posted.
|
|
LTC Financial Group GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170927
27 Sep 2017
|
|
No additional comments posted.
|
|
Unauthorised websites offering Forex investments
|
Autorité des marchés financiers |
France
|
20170927
27 Sep 2017
|
|
The AMF and the ACPR are publishing a list of new websites and entities offering investments on the unregulated foreign exchange (Forex) market in France, without authorisation to do so
|
|
Opzione Finanza of Antonio Vaccaro
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170927
27 Sep 2017
|
|
website: www.opzionefinanza.com
|
|
website www.alessiocavalieri.it
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170927
27 Sep 2017
|
|
No additional comments posted.
|
|
Cryp Trade Capital
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170927
27 Sep 2017
|
|
No additional comments posted.
|
|
PASCAL GRANDE CAPITAL PARTNERS
|
Financial Conduct Authority |
United Kingdom
|
20170926
26 Sep 2017
|
|
Clone of an EEA authorised firm
|
|
Speed Finance UK
|
Financial Conduct Authority |
United Kingdom
|
20170926
26 Sep 2017
|
|
No additional comments posted.
|
|
Calastone Private Bank
|
Jersey Financial Services Commission |
Jersey
|
20170926
26 Sep 2017
|
|
No additional comments posted.
|
|
Unauthorised websites offering diamond investments
|
Autorité des marchés financiers |
France
|
20170925
25 Sep 2017
|
|
The French AMF has published warning against the activities of unauthorised websites offering diamond investments.
more
|
|
SMART CHOICE ZONE LP
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170925
25 Sep 2017
|
|
No additional comments posted.
|
|
MARKETIER HOLDING LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170925
25 Sep 2017
|
|
No additional comments posted.
|
|
CAPITAL MARKETS BANC
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170925
25 Sep 2017
|
|
No additional comments posted.
|
|
Update on websites offering binary options trading
|
Autorité des marchés financiers |
France
|
20170922
22 Sep 2017
|
|
he AMF is publishing a list of new websites offering binary options trading, for which no authorized investment services provider could be clearly identified.
more
|
|
Naftoil
|
Autorité des marchés financiers |
France
|
20170922
22 Sep 2017
|
|
The AMF has published a warning regarding the company called Naftoil, which is not authorised to provide investment services in France and regarding its director .
more
|
|
www.yfassetmanagement.com
|
Securities and Futures Commission |
Hong Kong
|
20170922
22 Sep 2017
|
|
No additional comments posted.
|
|
Regulatory Compliance and Oversight Department
|
Securities and Futures Commission |
Hong Kong
|
20170922
22 Sep 2017
|
|
No additional comments posted.
|
|
Public Private Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170921
21 Sep 2017
|
|
No additional comments posted.
|
|
Hong Kong International Board Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20170921
21 Sep 2017
|
|
No additional comments posted.
|
|
International Leaders Capital
|
Securities and Futures Commission |
Hong Kong
|
20170921
21 Sep 2017
|
|
No additional comments posted.
|
|
Hong Kong Enterprise Equity Transfer Market Limited/ Hong Kong Enterprises Takeover Market Limited/HKOTC
|
Securities and Futures Commission |
Hong Kong
|
20170921
21 Sep 2017
|
|
No additional comments posted.
|
|
Hong Kong International Board Financial Investment Group Company Limited
|
Securities and Futures Commission |
Hong Kong
|
20170921
21 Sep 2017
|
|
No additional comments posted.
|
|
Guggenheim Group AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170921
21 Sep 2017
|
|
No additional comments posted.
|
|
FCA Market (FInancial Contract Authority)
|
Financial Conduct Authority |
United Kingdom
|
20170920
20 Sep 2017
|
|
No additional comments posted.
|
|
Asset Consulting / Consultant Services
|
Financial Conduct Authority |
United Kingdom
|
20170919
19 Sep 2017
|
|
No additional comments posted.
|
|
Polska Grupa Inwestycyjna
|
Polish Financial Supervision Authority |
Poland
|
20170919
19 Sep 2017
|
|
No additional comments posted.
|
|
Apollo Swiss Services AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170919
19 Sep 2017
|
|
No additional comments posted.
|
|
DBL Asset Management S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20170918
18 Sep 2017
|
|
No additional comments posted.
|
|
Apollo Swiss Services AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170918
18 Sep 2017
|
|
No additional comments posted.
|
|
Zurich Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170915
15 Sep 2017
|
|
No additional comments posted.
|
|
WeeCONOMY AG
|
Czech National Bank |
Czech Republic
|
20170914
14 Sep 2017
|
|
The Czech National Bank wishes to point out that WeeCONOMY AG, having its registered office at Burgstrasse 8, 8280 Kreuzlingen, Swiss Confederation, which is offering participation in a discount programme via the website www.wee.com, has no authorisa
more
|
|
YF Asset Management Limited
|
Financial Market Authority |
Austria
|
20170913
13 Sep 2017
|
|
No additional comments posted.
|
|
Werner Stocker
|
Securities and Futures Commission |
Hong Kong
|
20170913
13 Sep 2017
|
|
No additional comments posted.
|
|
Bellmore Group,Devin Consultants,Excon Fuji Securities,Olivier and Mann,Orix Capital Trading,Westward Holdings
|
Financial Services and Markets Authority |
Belgium
|
20170912
12 Sep 2017
|
|
warning 'boiler rooms'
|
|
EasyGestions,FXUnited/United Global Holdings Limited,Markets Premium,OneTwoTrade/Up & Down Marketing Ltd,Suisse Option,Primary Stream Limited,TorOption,Tp-Markets/Hubstone Holdings Ltd,VIP Markets,XFR Financial/E New Sp Z.o.o.
|
Financial Services and Markets Authority |
Belgium
|
20170912
12 Sep 2017
|
|
warning 'binary options'
|
|
www.faalimited.com
|
Securities and Futures Commission |
Hong Kong
|
20170912
12 Sep 2017
|
|
No additional comments posted.
|
|
Escuela Trades
|
Securities and Futures Commission |
Hong Kong
|
20170912
12 Sep 2017
|
|
No additional comments posted.
|
|
CMC Gao Hua
|
Finansinspektionen |
Sweden
|
20170912
12 Sep 2017
|
|
No additional comments posted.
|
|
ITO Ventures
|
Finansinspektionen |
Sweden
|
20170912
12 Sep 2017
|
|
No additional comments posted.
|
|
Cavendish & Finch
|
Financial Market Authority |
Austria
|
20170912
12 Sep 2017
|
|
No additional comments posted.
|
|
Cathay DuPont
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20170911
11 Sep 2017
|
|
No additional comments posted.
|
|
Positive Lending
|
Financial Conduct Authority |
United Kingdom
|
20170911
11 Sep 2017
|
|
No additional comments posted.
|
|
Genworth Consultant Group
|
Financial Conduct Authority |
United Kingdom
|
20170911
11 Sep 2017
|
|
No additional comments posted.
|
|
MOREL & WENDEL SA
|
Financial Market Authority |
Austria
|
20170911
11 Sep 2017
|
|
No additional comments posted.
|
|
Fisher Investments Institutional Funds PLC (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170911
11 Sep 2017
|
|
No additional comments posted.
|
|
http://www.cursosdeforex.es/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170911
11 Sep 2017
|
|
No additional comments posted.
|
|
B.I.S. Blueport Investment Services Ltd., doing business as 332option
|
British Columbia Securities Commission |
British Columbia
|
20170908
08 Sep 2017
|
|
No additional comments posted.
|
|
Johnston and James Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20170908
08 Sep 2017
|
|
No additional comments posted.
|
|
DSW Enterprises L.L.P. / DSW Partners
|
Securities and Futures Commission |
Hong Kong
|
20170908
08 Sep 2017
|
|
No additional comments posted.
|
|
Shanghai International Financial Group
|
Securities and Futures Commission |
Hong Kong
|
20170907
07 Sep 2017
|
|
No additional comments posted.
|
|
DTCM Capital Management Limited / DTCM Asset Management (HK) Limited / DTCM Consulting Limited
|
Securities and Futures Commission |
Hong Kong
|
20170907
07 Sep 2017
|
|
No additional comments posted.
|
|
Carter Flanagan Private Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20170907
07 Sep 2017
|
|
No additional comments posted.
|
|
BNP Forex Limited
|
Securities and Futures Commission |
Hong Kong
|
20170907
07 Sep 2017
|
|
No additional comments posted.
|
|
Alliance Consultants
|
Securities and Futures Commission |
Hong Kong
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
BANK-SYSTEM Agnieszka Nowicka
|
Polish Financial Supervision Authority |
Poland
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Worldwide Securities Investment Comission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
World Trade Commodities Exchange
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
World Options Exchange
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
US Stock Regulators
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
US Securities Investigative Committee
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
United Kingdom Managed Futures Association
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
United Kingdom Commodity Derivatives Association
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
The International Regulatory Panel of Trade
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
The International Board of Trade Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
The Futures Exchange Securities Regulator
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Transfer Exchange Corporation
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Thompson Brennan Stanley
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Swiss Commodities Futures Exchange
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Sicfex Swiss International Commodities Futures Exchange
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Securities Regulatory and Investment Board
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Regulatory Compliance Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Regulatory Association Of Offshore Investment Managers
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Prudential Regulatory Board
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Plutus Private Equity LLC
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Overseas Holding Compensation Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Options and Futures Trade Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Offshore Investors Protection Association
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Offshore Futures Securities Association
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Offshore Commodity Futures Dealers Association (OCFDA)
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Office of Financial Affairs
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
National Shareholder Protection Agency
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
National Mergers and Acquisitions Board
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
National Compliance Regulatory Board
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Japan Options and Futures Trading Board
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Japan Futures Trading Fund (JFTB)
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
International Shareholder Agency
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
International Securities Tax Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
International Regulatory Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
International Offshore Financial Markets Regulators (IOFMR)
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
International Exchange Regulatory Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
International Equity Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
International Compliance Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
International Association of Transfer Agents
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Inter-global Financial Regulatory Board
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Integrated Financial Regulatory Board
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Hong Kong Futures and Options Exchange (HKFOX)
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Hong Kong Financial Trading Authority (HKFTA)
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Hong Kong Financial Services Authority
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Global Regulatory Authority
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Global Metal and Commodities Exchange
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Forensic Financial Fraud Investigators
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Foreign Shareholders Protection Department
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Financial Services Regulatory Authority of Belgium
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Financial Assurance Regulatory Board
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Federal Assurance Regulatory Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
European Futures Options Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Equities Trading Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
East West Financial & Securities Compliance
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Department of Securities Trading
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Department of International Financial Trading
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Department of Financial Trading
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Commonwealth Regulatory Board
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Commodities Futures Trading Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
Please note that this fake regulator should not be confused with the legitimate US regulator, the Commodity Futures Trading Commission which is http://www.cftc.gov/
|
|
Committee of Regulation and Liquidation on Private Ventures
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Commission on Financial and Securities Compliance
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Bureau of Foreign Security Affairs
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Bureau of Financial Trading
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Bureau of Financial Services Board
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Board of Securities Trading Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Belgium Commodities & Futures Exchange
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Beacon Hill Regulatory Trade Commission, The
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
American Futures and Options Trading Commission
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
American Futures and Options Exchange
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Alliance Financial Regulatory Board
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Royal State Global Financial Solutions
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Wealth Management Group Ltd
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Eduard Steinbach PLC
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Spencer Capital Partners
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
London Capital Group
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
72Option
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
Also known as Epic Ventures Ltd
|
|
Abridge Enterprises
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
VX Markets
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
Also known as Clear VX Ltd
|
|
Millennium Options
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
Also known as Wallberg Ltd
|
|
ARAM Binary Options
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
Also known as ARAM Wealth Management Ltd
|
|
Plustocks
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Standard Fidelity Ltd
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
IvoryOption
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
Also known as Arya Group Ltd
|
|
BBB Markets
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
Also known as OB Capital Limited
|
|
Chemmi Holdings Ltd
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Campbell Investments Limited
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
FM Trader
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Trade 12
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
No additional comments posted.
|
|
Maxi Services Belize Ltd
|
Australian Securities and Investments Commission |
Australia
|
20170906
06 Sep 2017
|
|
Also known as UMarkets
|
|
Wilkins Developments / Wilkins Property Developments
|
Financial Conduct Authority |
United Kingdom
|
20170904
04 Sep 2017
|
|
No additional comments posted.
|
|
Global Wealth Center
|
Securities and Futures Commission |
Hong Kong
|
20170904
04 Sep 2017
|
|
No additional comments posted.
|
|
Quick Loans Ltd (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20170901
01 Sep 2017
|
|
No additional comments posted.
|
|
Swiss Life (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20170901
01 Sep 2017
|
|
Clone of an EEA Firm
|
|
Standard Fidelity
|
Financial Conduct Authority |
United Kingdom
|
20170901
01 Sep 2017
|
|
No additional comments posted.
|
|
Eduard Steinbach
|
Financial Conduct Authority |
United Kingdom
|
20170901
01 Sep 2017
|
|
Clone of EEA authorised firm
|
|
Savoy Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20170901
01 Sep 2017
|
|
No additional comments posted.
|
|
Global Dynamic Marketing 2.0 – GDM 2.0
|
Financial Market Authority |
Austria
|
20170901
01 Sep 2017
|
|
No additional comments posted.
|
|
Koenig Rowe - Campbell Alliance
|
Danish Financial Supervisory Authority |
Denmark
|
20170831
31 Aug 2017
|
|
The Danish Financial Supervisory Authority has been informed that Koenig Rowe - Campbell Alliance unsolicited has offered to carry out financial services in Denmark. The company's address is alleged-ly 51 Cyrus Street, London EC1V 0HS, United Kingdom
more
|
|
CNG Advisors
|
Securities and Futures Commission |
Hong Kong
|
20170831
31 Aug 2017
|
|
No additional comments posted.
|
|
Freedom Club
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170830
30 Aug 2017
|
|
No additional comments posted.
|
|
Genworth Consultant Group
|
Central Bank of Ireland |
Ireland
|
20170830
30 Aug 2017
|
|
Genworth Consultant Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Pichler Invest
|
Financial Market Authority |
Austria
|
20170830
30 Aug 2017
|
|
No additional comments posted.
|
|
Alpinvesta Asset Management AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170830
30 Aug 2017
|
|
No additional comments posted.
|
|
Watson & Gray Limited
|
Securities and Futures Commission |
Hong Kong
|
20170828
28 Aug 2017
|
|
No additional comments posted.
|
|
Walker & Kelly Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170828
28 Aug 2017
|
|
No additional comments posted.
|
|
Pearson & May Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170828
28 Aug 2017
|
|
No additional comments posted.
|
|
Michael & Carlos Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170828
28 Aug 2017
|
|
No additional comments posted.
|
|
Mark & Melvin Limited
|
Securities and Futures Commission |
Hong Kong
|
20170828
28 Aug 2017
|
|
No additional comments posted.
|
|
Kyler & Keaton Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170828
28 Aug 2017
|
|
No additional comments posted.
|
|
King & Jerry Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170828
28 Aug 2017
|
|
No additional comments posted.
|
|
Jessica & James Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170828
28 Aug 2017
|
|
No additional comments posted.
|
|
Jason & Victoria Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170828
28 Aug 2017
|
|
No additional comments posted.
|
|
Jason & Jordan Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170828
28 Aug 2017
|
|
No additional comments posted.
|
|
Jack & Jones Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170828
28 Aug 2017
|
|
No additional comments posted.
|
|
Calvin & Gates Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170828
28 Aug 2017
|
|
No additional comments posted.
|
|
Presidency Investments
|
Jersey Financial Services Commission |
Jersey
|
20170825
25 Aug 2017
|
|
No additional comments posted.
|
|
Lincoln Trust
|
Jersey Financial Services Commission |
Jersey
|
20170825
25 Aug 2017
|
|
No additional comments posted.
|
|
Gruber & Taylor Co
|
Financial Conduct Authority |
United Kingdom
|
20170824
24 Aug 2017
|
|
No additional comments posted.
|
|
Atsuko Ventures
|
Financial Conduct Authority |
United Kingdom
|
20170824
24 Aug 2017
|
|
No additional comments posted.
|
|
Westmount Associates
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170824
24 Aug 2017
|
|
No additional comments posted.
|
|
BV Trading Aquila SA - Bank of Vale
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170824
24 Aug 2017
|
|
No additional comments posted.
|
|
BV Trading Aquila SA - Bank of Vale
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170824
24 Aug 2017
|
|
No additional comments posted.
|
|
NetoTrade
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170824
24 Aug 2017
|
|
No additional comments posted.
|
|
Atlantic Global Asset Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170824
24 Aug 2017
|
|
No additional comments posted.
|
|
Questra World
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170824
24 Aug 2017
|
|
No additional comments posted.
|
|
Smith & Smith Financial Brokerage
|
Financial Market Authority |
Austria
|
20170824
24 Aug 2017
|
|
No additional comments posted.
|
|
FSHG Capital Investments Limited
|
Securities and Futures Commission |
Hong Kong
|
20170824
24 Aug 2017
|
|
No additional comments posted.
|
|
Global Invest Network, Head Office Luxembourg
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20170823
23 Aug 2017
|
|
No additional comments posted.
|
|
FXCM UK Ltd
|
Financial Conduct Authority |
United Kingdom
|
20170822
22 Aug 2017
|
|
Clone of FCA Authorised Firm
|
|
Ashton Moore Developments/Ashton Moore
|
Financial Conduct Authority |
United Kingdom
|
20170822
22 Aug 2017
|
|
No additional comments posted.
|
|
CDN Law Firm
|
Financial Conduct Authority |
United Kingdom
|
20170822
22 Aug 2017
|
|
No additional comments posted.
|
|
Imperial Equity Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170822
22 Aug 2017
|
|
No additional comments posted.
|
|
Ebond Securities LLC
|
Securities and Futures Commission |
Hong Kong
|
20170822
22 Aug 2017
|
|
No additional comments posted.
|
|
Qunyi Dingtong International
|
Securities and Futures Commission |
Hong Kong
|
20170822
22 Aug 2017
|
|
No additional comments posted.
|
|
https://www.coin-wallet.info/
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170817
17 Aug 2017
|
|
No additional comments posted.
|
|
SOIA Swiss Online Investment Agency
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170817
17 Aug 2017
|
|
No additional comments posted.
|
|
FX Global Asset Management Ltd
|
Polish Financial Supervision Authority |
Poland
|
20170816
16 Aug 2017
|
|
No additional comments posted.
|
|
Labama Financial Consulting
|
Financial Market Authority |
Austria
|
20170816
16 Aug 2017
|
|
No additional comments posted.
|
|
PERGAMUS TRANSATLANTIC SERVICES
|
Financial Market Authority |
Austria
|
20170816
16 Aug 2017
|
|
No additional comments posted.
|
|
kwbenson
|
Financial Market Authority |
Austria
|
20170816
16 Aug 2017
|
|
No additional comments posted.
|
|
Lions Trading Club Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170816
16 Aug 2017
|
|
No additional comments posted.
|
|
Global Dynamic Schweiz, GD Schweiz Team
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170815
15 Aug 2017
|
|
No additional comments posted.
|
|
Higa and Partners
|
Financial Conduct Authority |
United Kingdom
|
20170814
14 Aug 2017
|
|
No additional comments posted.
|
|
IBG Capital Partners
|
Securities and Futures Commission |
Hong Kong
|
20170814
14 Aug 2017
|
|
No additional comments posted.
|
|
上海趣耍投資管理有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20170814
14 Aug 2017
|
|
No additional comments posted.
|
|
Kleinwort Benson (Ventures) Clone of UK authorised firm
|
Financial Conduct Authority |
United Kingdom
|
20170811
11 Aug 2017
|
|
Clone of authorised firm Kleinwort Benson and its trading names (FRN: 119269)
|
|
MEDIA SOFT LIMITED / NETSOFT LIMITED / NETMEDIA MARKETS OU
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170811
11 Aug 2017
|
|
No additional comments posted.
|
|
72Option
|
Securities and Futures Commission |
Hong Kong
|
20170811
11 Aug 2017
|
|
No additional comments posted.
|
|
Money Solutions UK (clone of UK authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20170810
10 Aug 2017
|
|
No additional comments posted.
|
|
Charles van Deursen
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170810
10 Aug 2017
|
|
company Charles van Deursen is not authorised to provide investment services and activities in Italy by any means
|
|
IforexX24 Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170810
10 Aug 2017
|
|
company IforexX24 Ltd is not authorised to provide investment services and activities in Italy by any means and, therefore, including through the website www.iforex24.com
|
|
Paramount Law Boston
|
Financial Conduct Authority |
United Kingdom
|
20170810
10 Aug 2017
|
|
No additional comments posted.
|
|
The Britain Loan / Britain Loans / Britt Loans
|
Financial Conduct Authority |
United Kingdom
|
20170809
09 Aug 2017
|
|
No additional comments posted.
|
|
MIB 700
|
Polish Financial Supervision Authority |
Poland
|
20170809
09 Aug 2017
|
|
No additional comments posted.
|
|
Clarion Global Group
|
Financial Conduct Authority |
United Kingdom
|
20170808
08 Aug 2017
|
|
No additional comments posted.
|
|
Fast Invest Ltd.
|
Polish Financial Supervision Authority |
Poland
|
20170808
08 Aug 2017
|
|
No additional comments posted.
|
|
Westmount Associates
|
Financial Conduct Authority |
United Kingdom
|
20170807
07 Aug 2017
|
|
No additional comments posted.
|
|
Zurich Capital (trading as Zurichcap.com)
|
Financial Conduct Authority |
United Kingdom
|
20170807
07 Aug 2017
|
|
No additional comments posted.
|
|
Polen Capital Investment Funds / PCIF (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20170807
07 Aug 2017
|
|
Clone of FCA Authorised Schedule 5 firm.
|
|
Quick Quid / Loan Point (clone of an authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20170807
07 Aug 2017
|
|
No additional comments posted.
|
|
Quick Quid / Loan Point (clone of an authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20170807
07 Aug 2017
|
|
No additional comments posted.
|
|
Debt Advice Trust
|
Financial Conduct Authority |
United Kingdom
|
20170804
04 Aug 2017
|
|
Clone of authorised firm The Consultancy People Ltd and its trading name: National Debt Help (FRN 770135)
|
|
247 Money Express/The Money Source
|
Financial Conduct Authority |
United Kingdom
|
20170804
04 Aug 2017
|
|
Clone of authorised firm Stop Go Networks Ltd and its trading names (FRN: 729572)
|
|
Questra Holdings Inc.
|
Financial Market Authority |
Austria
|
20170804
04 Aug 2017
|
|
No additional comments posted.
|
|
Atlantic Global Asset Management, SA
|
Financial Market Authority |
Austria
|
20170804
04 Aug 2017
|
|
No additional comments posted.
|
|
Poloinvest Limited
|
Securities and Futures Commission |
Hong Kong
|
20170804
04 Aug 2017
|
|
No additional comments posted.
|
|
Animax United LP
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170804
04 Aug 2017
|
|
No additional comments posted.
|
|
INVESTMENT AND TRADING CAPITAL LIMITED
|
Czech National Bank |
Czech Republic
|
20170804
04 Aug 2017
|
|
The Czech National Bank wishes to point out that INVESTMENT AND TRADING CAPITAL LIMITED, company number 5560666, NZBN 9429041569849, having its registered office at 82 Symonds Street, Grafton, Auckland, 1010, New Zealand, is offering the possibility
more
|
|
Tilney Fund Managers (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170803
03 Aug 2017
|
|
No additional comments posted.
|
|
Admiral Markets Ltd
|
Financial Conduct Authority |
United Kingdom
|
20170802
02 Aug 2017
|
|
No additional comments posted.
|
|
GTP Capital
|
Danish Financial Supervisory Authority |
Denmark
|
20170802
02 Aug 2017
|
|
The Danish Financial Supervisory Authority has been informed that GTP Capital unsolicited has offered to carry out financial services in Denmark. The company's address is apparently c/o Oasis Capital Ltd, New Broad Street House 35 New Broad Street Lo
more
|
|
JAG Limited / JAG Transfer
|
Securities and Futures Commission |
Hong Kong
|
20170801
01 Aug 2017
|
|
No additional comments posted.
|
|
Atlantic Global Asset Management SA
|
Securities and Futures Commission |
Hong Kong
|
20170801
01 Aug 2017
|
|
No additional comments posted.
|
|
Questra World Inc
|
Securities and Futures Commission |
Hong Kong
|
20170801
01 Aug 2017
|
|
No additional comments posted.
|
|
My Secure Escrow
|
Securities and Futures Commission |
Hong Kong
|
20170801
01 Aug 2017
|
|
No additional comments posted.
|
|
Eubi Investments Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20170801
01 Aug 2017
|
|
No additional comments posted.
|
|
SwissMain
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170731
31 Jul 2017
|
|
No additional comments posted.
|
|
London Finance and Investment Corporation (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170731
31 Jul 2017
|
|
No additional comments posted.
|
|
Merit Loans (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170731
31 Jul 2017
|
|
No additional comments posted.
|
|
MDM Group AG
|
Financial Market Authority |
Austria
|
20170731
31 Jul 2017
|
|
No additional comments posted.
|
|
Pacifik Chiba Trust
|
Danish Financial Supervisory Authority |
Denmark
|
20170731
31 Jul 2017
|
|
The Danish Financial Supervisory Authority has been informed that Pacifik Chiba Trust unsolicited has offered to carry out financial services in Denmark. The company's address is Sanno, 13th Floor, 2 Chome-11-1 Nagatacho, Tokyo, Japan, and the compan
more
|
|
Foster Elliot Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170731
31 Jul 2017
|
|
No additional comments posted.
|
|
Chrześcijańska Wspólnota Edukacyjno-Inwestycyjna Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20170728
28 Jul 2017
|
|
No additional comments posted.
|
|
Hong Kong Keybridge Investment Company Limited
|
Securities and Futures Commission |
Hong Kong
|
20170728
28 Jul 2017
|
|
No additional comments posted.
|
|
Centillion Consultant Limited
|
Securities and Futures Commission |
Hong Kong
|
20170728
28 Jul 2017
|
|
No additional comments posted.
|
|
project named “Business Americano”
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170728
28 Jul 2017
|
|
CONSOB has imposed a cautionary suspension for a period of 90 days on the offer to the public of investment opportunities for accession to the project named “Business Americano” carried out without the required authorisations, including through the w
more
|
|
Questra World, Questra Holdings and Atlantic Global Asset Management
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170728
28 Jul 2017
|
|
CONSOB has imposed a cautionary suspension for a period of 90 days on the advertising activity carried out through the Facebook page www.facebook.com/QuestraWorldIItaliaAffiliati related to the offer to the public of “investment portfolios” promoted
more
|
|
project named “Elicicoltura”
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170728
28 Jul 2017
|
|
CONSOB has imposed a cautionary suspension for a period of 90 days on the offer to the public of investment opportunities for accession to the project named “Elicicoltura” carried out without the required authorisations, including through the websit
more
|
|
B4Markets Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170728
28 Jul 2017
|
|
company B4Markets Ltd is not authorised to provide investment services and activities in Italy by any mean and, therefore, including through the website www.b4markets.com
|
|
Questra World, Questra Holdings and Atlantic Global Asset Management
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170728
28 Jul 2017
|
|
a cautionary suspension has been implemented, for a period of 90 days, on the advertising activities carried out by Mario Ongaro through the website www.questraholdingsitalia.com relating to the offer to the public of “investment portfolios” promoted
more
|
|
Markets Broker and Age Capital Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170728
28 Jul 2017
|
|
companies Markets Broker and Age Capital Ltd are not authorised to provide investment services and activities in Italy by any mean and therefore, including through the website www.marketsbroker.com
|
|
Yukon Global Ltd, TradeTech Fin Ltd and Top Media Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170728
28 Jul 2017
|
|
companies Yukon Global Ltd, TradeTech Fin Ltd and Top Media Ltd are not authorised to provide investment services and activities in Italy by any mean and therefore, including through the website www.forex-point.com
|
|
Anmaric Enterprises Corporation
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20170727
27 Jul 2017
|
|
Public Statement - Unauthorised investment business
|
|
AMC CAPITAL INVEST/AMC CAPITAL MANAGEMENT (Clone of FCA EEA Firm)
|
Financial Conduct Authority |
United Kingdom
|
20170727
27 Jul 2017
|
|
Please not the FCA has also published an alert on the FCA register:
more
|
|
Conor Capital Invest Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20170727
27 Jul 2017
|
|
No additional comments posted.
|
|
Miceolution
|
Polish Financial Supervision Authority |
Poland
|
20170727
27 Jul 2017
|
|
No additional comments posted.
|
|
Merryl Morgan
|
Securities and Futures Commission |
Hong Kong
|
20170727
27 Jul 2017
|
|
No additional comments posted.
|
|
JSB Capital Group Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170726
26 Jul 2017
|
|
No additional comments posted.
|
|
Stock Swiss
|
Securities and Futures Commission |
Hong Kong
|
20170726
26 Jul 2017
|
|
No additional comments posted.
|
|
Centurio Finanz AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170726
26 Jul 2017
|
|
No additional comments posted.
|
|
Sea Faith Bullion Limited and Sea Faith International Industrial Limited
|
British Columbia Securities Commission |
British Columbia
|
20170725
25 Jul 2017
|
|
No additional comments posted.
|
|
Asashi Mergers and Acquisitions Group
|
Financial Conduct Authority |
United Kingdom
|
20170725
25 Jul 2017
|
|
No additional comments posted.
|
|
LDN Exchange (trading name of Trident Group Limited)
|
Financial Conduct Authority |
United Kingdom
|
20170725
25 Jul 2017
|
|
No additional comments posted.
|
|
Evolution Money Ltd
|
Financial Conduct Authority |
United Kingdom
|
20170724
24 Jul 2017
|
|
No additional comments posted.
|
|
Platforms offering investments in diamonds
|
Autorité des marchés financiers |
France
|
20170724
24 Jul 2017
|
|
The AMF has just created a new list of unauthorised entities offering investments in diamonds.
|
|
GN Investment AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170724
24 Jul 2017
|
|
No additional comments posted.
|
|
Nostrobank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170724
24 Jul 2017
|
|
No additional comments posted.
|
|
Oxford Capital Partners (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170721
21 Jul 2017
|
|
No additional comments posted.
|
|
Jones & Clark Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170721
21 Jul 2017
|
|
No additional comments posted.
|
|
Direct Asset Partners
|
Securities and Futures Commission |
Hong Kong
|
20170721
21 Jul 2017
|
|
No additional comments posted.
|
|
Nova Giełda Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20170721
21 Jul 2017
|
|
No additional comments posted.
|
|
Nova Giełda Inwestycje Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20170721
21 Jul 2017
|
|
No additional comments posted.
|
|
Omega Mutual Group
|
British Columbia Securities Commission |
British Columbia
|
20170720
20 Jul 2017
|
|
No additional comments posted.
|
|
Boss Capital, owned and operated by Melnic Group Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20170720
20 Jul 2017
|
|
No additional comments posted.
|
|
UK Tech Protect Limited
|
Financial Conduct Authority |
United Kingdom
|
20170720
20 Jul 2017
|
|
No additional comments posted.
|
|
Winco Investment Management Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170720
20 Jul 2017
|
|
No additional comments posted.
|
|
Abridge Enterprises
|
Securities and Futures Commission |
Hong Kong
|
20170720
20 Jul 2017
|
|
No additional comments posted.
|
|
Carl & Tony Limited
|
Securities and Futures Commission |
Hong Kong
|
20170718
18 Jul 2017
|
|
No additional comments posted.
|
|
Toronto Sumitomo Trading International (TST International)
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20170718
18 Jul 2017
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Unique Finance
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170718
18 Jul 2017
|
|
No additional comments posted.
|
|
GSI Markets
|
Financial Conduct Authority |
United Kingdom
|
20170717
17 Jul 2017
|
|
No additional comments posted.
|
|
Donalds and Brinkley
|
Financial Conduct Authority |
United Kingdom
|
20170717
17 Jul 2017
|
|
No additional comments posted.
|
|
Sakai, Yao and Partners
|
Financial Conduct Authority |
United Kingdom
|
20170714
14 Jul 2017
|
|
No additional comments posted.
|
|
Multi Strategy Investment Limited
|
Financial Conduct Authority |
United Kingdom
|
20170714
14 Jul 2017
|
|
No additional comments posted.
|
|
Jonathan & Carly Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170714
14 Jul 2017
|
|
No additional comments posted.
|
|
Excon Fuji Securities
|
Securities and Futures Commission |
Hong Kong
|
20170714
14 Jul 2017
|
|
No additional comments posted.
|
|
Asia Century Investment Limited
|
Securities and Futures Commission |
Hong Kong
|
20170714
14 Jul 2017
|
|
No additional comments posted.
|
|
Regal Asset Investment / Regal Asset Investment LLC
|
Securities and Futures Commission |
Hong Kong
|
20170714
14 Jul 2017
|
|
No additional comments posted.
|
|
Win the World Futures Co Ltd/Futures Win the world
|
Securities and Futures Commission |
Hong Kong
|
20170714
14 Jul 2017
|
|
No additional comments posted.
|
|
West Pacific Dealers
|
Securities and Futures Commission |
Hong Kong
|
20170714
14 Jul 2017
|
|
No additional comments posted.
|
|
AXA IM Asia (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170713
13 Jul 2017
|
|
No additional comments posted.
|
|
Kennedy Kilbride
|
Central Bank of Ireland |
Ireland
|
20170713
13 Jul 2017
|
|
Kennedy Kilbride is not authorized to provide investment services in Ireland. The firm purports to be based in the United Kingdom
|
|
Rothschild Asset Management (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170712
12 Jul 2017
|
|
No additional comments posted.
|
|
1875-Finance Invest
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20170712
12 Jul 2017
|
|
No additional comments posted.
|
|
Alpha Consulting
|
Financial Conduct Authority |
United Kingdom
|
20170712
12 Jul 2017
|
|
Clone of a previously authorised firm
|
|
ZAR Solutions Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20170712
12 Jul 2017
|
|
Public Statement - Unauthorised investment business
|
|
E-Crypto Trade & Finance Group, Inc.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20170712
12 Jul 2017
|
|
Public Statement - Circulation of false certificate of incorporation
|
|
Intermediate Capital Group – Millennium Capital Management Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170712
12 Jul 2017
|
|
No additional comments posted.
|
|
OneCoin Ltd.
|
Financial Market Authority |
Austria
|
20170712
12 Jul 2017
|
|
No additional comments posted.
|
|
Goldmann & Reiter
|
Financial Market Authority |
Austria
|
20170712
12 Jul 2017
|
|
No additional comments posted.
|
|
Alpha Centauri Inc.
|
Financial Market Authority |
Austria
|
20170712
12 Jul 2017
|
|
No additional comments posted.
|
|
Insurance Link Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20170711
11 Jul 2017
|
|
No additional comments posted.
|
|
YFX CAPITAL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170710
10 Jul 2017
|
|
No additional comments posted.
|
|
MAGV Securities Inc
|
Securities and Futures Commission |
Hong Kong
|
20170707
07 Jul 2017
|
|
No additional comments posted.
|
|
Chancellor Capital LLC
|
Securities and Futures Commission |
Hong Kong
|
20170707
07 Jul 2017
|
|
No additional comments posted.
|
|
Hongyi Capital
|
Securities and Futures Commission |
Hong Kong
|
20170707
07 Jul 2017
|
|
No additional comments posted.
|
|
Josef Frank Global trading as JF Global (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170706
06 Jul 2017
|
|
Clone of EEA authorised firm that features on the FCA Register.
|
|
www.chs-capital.com
|
Autorité des marchés financiers |
France
|
20170706
06 Jul 2017
|
|
The AMF has issued a public warning concerning the website, www.chs-capital.com, that pretends to offer various investments particularly in startup companies, real estate investment companies (SCPI), French equity saving plans (“PEA”), commodity mark
more
|
|
Stamford Wealth / Stanford Wealth / Stanford Wells
|
Financial Conduct Authority |
United Kingdom
|
20170705
05 Jul 2017
|
|
Clone of FCA authorised firm
|
|
Dixon Associates Ltd
|
Financial Conduct Authority |
United Kingdom
|
20170705
05 Jul 2017
|
|
No additional comments posted.
|
|
Bluelight Financial
|
Financial Conduct Authority |
United Kingdom
|
20170705
05 Jul 2017
|
|
Please note the alert has also been published on the FCA register:
more
|
|
Private Placement Associates
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20170704
04 Jul 2017
|
|
Public Statement - Unauthorised investment business
|
|
Private Partners & Associates
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20170704
04 Jul 2017
|
|
Public Statement - Unauthorised investment business
|
|
Horizon Management Advisors
|
Financial Conduct Authority |
United Kingdom
|
20170703
03 Jul 2017
|
|
No additional comments posted.
|
|
OneTrade (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170703
03 Jul 2017
|
|
No additional comments posted.
|
|
Markets Capital Limited (trading as FX Markets Capital) (unauthorised frim)
|
Financial Conduct Authority |
United Kingdom
|
20170703
03 Jul 2017
|
|
No additional comments posted.
|
|
Offers of investment in diamond
|
Financial Services and Markets Authority |
Belgium
|
20170703
03 Jul 2017
|
|
warning
|
|
NETO TRADE GLOBAL INVESTMENTS LTD (NTGX LTD)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170703
03 Jul 2017
|
|
No additional comments posted.
|
|
AIOPERATOR ARTIFICIAL INTELLIGENCE FINANCE
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170703
03 Jul 2017
|
|
No additional comments posted.
|
|
BALI LIMITED, LTD / WINMORE ALLIANCE
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170703
03 Jul 2017
|
|
No additional comments posted.
|
|
WHITE SEA LTD / WLT INVESTMENTS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170703
03 Jul 2017
|
|
No additional comments posted.
|
|
ZURC ADMINISTRAÇÃO E INVESTIMENTOS LTDA - ME
|
Comissão de Valores Mobiliários |
Brazil
|
20170630
30 Jun 2017
|
|
Not authorized by the CVM of Brazil to offer investment opportunities to Brazilian Residents by any means, (online or other).
more
|
|
BESTY TRADE
|
Comissão de Valores Mobiliários |
Brazil
|
20170630
30 Jun 2017
|
|
Not authorized by the CVM of Brazil to offer investment opportunities to Brazilian Residents by any means, (online or other).
more
|
|
TOKINVEST SERVICOS FINANCEIROS BR LTDA - ME
|
Comissão de Valores Mobiliários |
Brazil
|
20170630
30 Jun 2017
|
|
Not authorized by the CVM of Brazil to offer investment opportunities to Brazilian Residents by any means, (online or other).
more
|
|
TF TRADING LTD - TURBOFOREX.COM/PT/
|
Comissão de Valores Mobiliários |
Brazil
|
20170630
30 Jun 2017
|
|
Not authorized by the CVM of Brazil to offer investment opportunities to Brazilian Residents by any means, (online or other).
more
|
|
silver oak media AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170630
30 Jun 2017
|
|
No additional comments posted.
|
|
TRADER FOREX LTDA
|
Comissão de Valores Mobiliários |
Brazil
|
20170630
30 Jun 2017
|
|
Not authorized by the CVM of Brazil to offer investment opportunities to Brazilian Residents by any means, (online or other).
more
|
|
FBS MARKETS INC
|
Comissão de Valores Mobiliários |
Brazil
|
20170630
30 Jun 2017
|
|
Not authorized by the CVM of Brazil to offer investment opportunities to Brazilian Residents by any means, (online or other).
more
|
|
XFR FINANCIAL LTD.
|
Comissão de Valores Mobiliários |
Brazil
|
20170630
30 Jun 2017
|
|
Not authorized by the CVM of Brazil to offer investment opportunities to Brazilian Residents by any means, (online or other).
more
|
|
FINANCIAL ARENA LTD
|
Comissão de Valores Mobiliários |
Brazil
|
20170630
30 Jun 2017
|
|
Not authorized by the CVM of Brazil to offer investment opportunities to Brazilian Residents by any means, (online or other).
more
|
|
Brit-Group (unauthorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20170630
30 Jun 2017
|
|
No additional comments posted.
|
|
Nihon International
|
Finansinspektionen |
Sweden
|
20170630
30 Jun 2017
|
|
No additional comments posted.
|
|
Right Choice Insurance Brokers (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170629
29 Jun 2017
|
|
No additional comments posted.
|
|
websites offering binary options trading
|
Autorité des marchés financiers |
France
|
20170629
29 Jun 2017
|
|
The AMF is publishing a list of new websites offering trading in binary options for which no authorised investment service provider has been identified.
|
|
Prolinet Ventures Limited (unauthorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20170628
28 Jun 2017
|
|
No additional comments posted.
|
|
Excon Fuji Securities
|
Finansinspektionen |
Sweden
|
20170628
28 Jun 2017
|
|
No additional comments posted.
|
|
Progression Trust and Department of Securities and Exchange Regulation
|
Finansinspektionen |
Sweden
|
20170628
28 Jun 2017
|
|
No additional comments posted.
|
|
AIG Options / CMC Options
|
Financial Conduct Authority |
United Kingdom
|
20170628
28 Jun 2017
|
|
No additional comments posted.
|
|
Unauthorised websites offering Forex investments
|
Autorité des marchés financiers |
France
|
20170628
28 Jun 2017
|
|
The AMF and the ACPR have jointly issued a warning on unauthorized websites offering forex trading containing the names of the newly identified sites. The full list can be found on the AMF's website.
|
|
Vortex Assets - Black Parrot Limited
|
Polish Financial Supervision Authority |
Poland
|
20170628
28 Jun 2017
|
|
No additional comments posted.
|
|
RDP Media Ltd Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20170628
28 Jun 2017
|
|
No additional comments posted.
|
|
www.kapitalwealth.com
|
Financial Market Authority |
Austria
|
20170627
27 Jun 2017
|
|
No additional comments posted.
|
|
International Financial Trade – IF Trade
|
Financial Market Authority |
Austria
|
20170627
27 Jun 2017
|
|
No additional comments posted.
|
|
Edgedale Finance
|
Financial Market Authority |
Austria
|
20170627
27 Jun 2017
|
|
No additional comments posted.
|
|
SLS Trade
|
Financial Market Authority |
Austria
|
20170627
27 Jun 2017
|
|
No additional comments posted.
|
|
First Stop Loans (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20170627
27 Jun 2017
|
|
No additional comments posted.
|
|
PLUS TRADES LTD WEALTH MANAGEMENT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170627
27 Jun 2017
|
|
No additional comments posted.
|
|
www.gracefinancial.co
|
Securities and Futures Commission |
Hong Kong
|
20170623
23 Jun 2017
|
|
No additional comments posted.
|
|
Sino Link Global
|
Securities and Futures Commission |
Hong Kong
|
20170623
23 Jun 2017
|
|
No additional comments posted.
|
|
Orix Capital Trading
|
Securities and Futures Commission |
Hong Kong
|
20170623
23 Jun 2017
|
|
No additional comments posted.
|
|
JJPTR / JJ Poor to Rich
|
Securities and Futures Commission |
Hong Kong
|
20170623
23 Jun 2017
|
|
No additional comments posted.
|
|
A and L Partners Hong Kong Limited
|
Securities and Futures Commission |
Hong Kong
|
20170623
23 Jun 2017
|
|
No additional comments posted.
|
|
A&L Partners Limited
|
Securities and Futures Commission |
Hong Kong
|
20170623
23 Jun 2017
|
|
No additional comments posted.
|
|
Rolls-Royce Bond (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170622
22 Jun 2017
|
|
No additional comments posted.
|
|
Dash Loans
|
Financial Conduct Authority |
United Kingdom
|
20170622
22 Jun 2017
|
|
No additional comments posted.
|
|
CALEDONIAN EQUITY GROUP
|
Financial Conduct Authority |
United Kingdom
|
20170622
22 Jun 2017
|
|
No additional comments posted.
|
|
British Lenders Limited
|
Financial Conduct Authority |
United Kingdom
|
20170622
22 Jun 2017
|
|
No additional comments posted.
|
|
Pichler Invest
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170622
22 Jun 2017
|
|
No additional comments posted.
|
|
Penman Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170622
22 Jun 2017
|
|
No additional comments posted.
|
|
Treasury Asset Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170622
22 Jun 2017
|
|
No additional comments posted.
|
|
Barton & Rose
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170622
22 Jun 2017
|
|
No additional comments posted.
|
|
PPL Global Capital Limited trading as Prime Properties Global
|
Financial Conduct Authority |
United Kingdom
|
20170621
21 Jun 2017
|
|
No additional comments posted.
|
|
East Coast Law Firm / East Coast Law Florida
|
Financial Conduct Authority |
United Kingdom
|
20170621
21 Jun 2017
|
|
No additional comments posted.
|
|
Blackrock Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20170620
20 Jun 2017
|
|
Clone of a previously authorised firm
|
|
Landa Asset Management (clone of former FCA appointed representative firm)
|
Financial Conduct Authority |
United Kingdom
|
20170620
20 Jun 2017
|
|
An alert on the FCA register has also been issued. Please refer to the following link:
more
|
|
Security Electronic Technology (HK) Limited
|
Securities and Futures Commission |
Hong Kong
|
20170619
19 Jun 2017
|
|
No additional comments posted.
|
|
Woori Bridgewater Brokerage
|
Securities and Futures Commission |
Hong Kong
|
20170619
19 Jun 2017
|
|
No additional comments posted.
|
|
Kimberley & Andrew Limited
|
Securities and Futures Commission |
Hong Kong
|
20170619
19 Jun 2017
|
|
No additional comments posted.
|
|
Venture Pro Trader
|
Securities and Futures Commission |
Hong Kong
|
20170619
19 Jun 2017
|
|
No additional comments posted.
|
|
Spencer Capital Partners
|
Securities and Futures Commission |
Hong Kong
|
20170619
19 Jun 2017
|
|
No additional comments posted.
|
|
Cezar Grupa Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20170619
19 Jun 2017
|
|
No additional comments posted.
|
|
Comfort Capital Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20170619
19 Jun 2017
|
|
No additional comments posted.
|
|
True Blue Loans (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170616
16 Jun 2017
|
|
No additional comments posted.
|
|
Funds Point (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170616
16 Jun 2017
|
|
No additional comments posted.
|
|
Aequitas Financial LLP
|
Financial Conduct Authority |
United Kingdom
|
20170616
16 Jun 2017
|
|
This firm is conducting authorised activity without permission
|
|
HBFX Markets Limited
|
Financial Conduct Authority |
United Kingdom
|
20170616
16 Jun 2017
|
|
No additional comments posted.
|
|
MRTmarkets.com
|
Financial Conduct Authority |
United Kingdom
|
20170616
16 Jun 2017
|
|
No additional comments posted.
|
|
Global Fin Services Limited trading as Trade 12
|
Financial Conduct Authority |
United Kingdom
|
20170616
16 Jun 2017
|
|
No additional comments posted.
|
|
香港群益期貨(Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20170616
16 Jun 2017
|
|
No additional comments posted.
|
|
Pacific Securities Co., Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170616
16 Jun 2017
|
|
No additional comments posted.
|
|
Grace lnvestment / Grace lnvestment L.L.C
|
Securities and Futures Commission |
Hong Kong
|
20170615
15 Jun 2017
|
|
No additional comments posted.
|
|
Asia & Pacific Holdings Japan
|
Securities and Futures Commission |
Hong Kong
|
20170615
15 Jun 2017
|
|
No additional comments posted.
|
|
Pounds in Accounts (unauthorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20170614
14 Jun 2017
|
|
No additional comments posted.
|
|
PointFinance Limited (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170614
14 Jun 2017
|
|
No additional comments posted.
|
|
Marketier Holdings trading as Stox Market
|
Financial Conduct Authority |
United Kingdom
|
20170614
14 Jun 2017
|
|
This firm is conducting authorised activity without permission
|
|
CTI China Renaissance
|
Finansinspektionen |
Sweden
|
20170613
13 Jun 2017
|
|
No additional comments posted.
|
|
Woori Bridgewater Brokerage
|
Finansinspektionen |
Sweden
|
20170613
13 Jun 2017
|
|
No additional comments posted.
|
|
Bancroft, Doyle & Page Global / BDP Global
|
Securities and Futures Commission |
Hong Kong
|
20170613
13 Jun 2017
|
|
No additional comments posted.
|
|
Taurus Private Equity GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170612
12 Jun 2017
|
|
No additional comments posted.
|
|
CFDStocks
|
Securities and Futures Commission |
Hong Kong
|
20170612
12 Jun 2017
|
|
No additional comments posted.
|
|
JJ Matthias Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20170612
12 Jun 2017
|
|
No additional comments posted.
|
|
HPoption
|
Securities and Futures Commission |
Hong Kong
|
20170612
12 Jun 2017
|
|
No additional comments posted.
|
|
Verent Capital
|
Securities and Futures Commission |
Hong Kong
|
20170612
12 Jun 2017
|
|
No additional comments posted.
|
|
Pimmit Partners
|
Securities and Futures Commission |
Hong Kong
|
20170612
12 Jun 2017
|
|
No additional comments posted.
|
|
MNB Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170612
12 Jun 2017
|
|
No additional comments posted.
|
|
OKPAY Inc.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20170609
09 Jun 2017
|
|
Public Statement - Entity not licensed by the BVI FSC to carry on financial services business in or from within the Territory.
|
|
Pioneer Asset Management S.A.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170609
09 Jun 2017
|
|
No additional comments posted.
|
|
Clever Loans (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20170609
09 Jun 2017
|
|
No additional comments posted.
|
|
MDM Group AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170608
08 Jun 2017
|
|
No additional comments posted.
|
|
CFD 1000 Limited
|
Polish Financial Supervision Authority |
Poland
|
20170608
08 Jun 2017
|
|
No additional comments posted.
|
|
Charles van Deursen,CTI China Renaissance (CTICR),XW Technology Hong Kong Limited,Toronto Sumitomo Trading International (TST International),Toshikatsu Group,Woori Bridgewater Brokerage
|
Financial Services and Markets Authority |
Belgium
|
20170608
08 Jun 2017
|
|
warning 'boiler rooms'
|
|
Chicago Law Group
|
Financial Conduct Authority |
United Kingdom
|
20170607
07 Jun 2017
|
|
No additional comments posted.
|
|
Barton and Rose
|
Financial Conduct Authority |
United Kingdom
|
20170607
07 Jun 2017
|
|
No additional comments posted.
|
|
GC VENTURE LIMITED
|
Financial Conduct Authority |
United Kingdom
|
20170607
07 Jun 2017
|
|
No additional comments posted.
|
|
WING PEGASUS, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170605
05 Jun 2017
|
|
No additional comments posted.
|
|
www.paydiamond.com
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170605
05 Jun 2017
|
|
CONSOB has suspended the public offering concerning ‘packs’ for the purchase of diamonds which promises of periodic returns, carried out through the website www.paydiamond.com, for a period of 90 days.
|
|
Keyds Lydya Ltd and Keyds Scotland LP
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170605
05 Jun 2017
|
|
No additional comments posted.
|
|
BT Systems Ltd and CRLink Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170605
05 Jun 2017
|
|
No additional comments posted.
|
|
Spot2Trade Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170605
05 Jun 2017
|
|
No additional comments posted.
|
|
Stern Options (unauthorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20170602
02 Jun 2017
|
|
No additional comments posted.
|
|
1oakmg Sagl
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170602
02 Jun 2017
|
|
No additional comments posted.
|
|
Olivier and Mann Inc.
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20170601
01 Jun 2017
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
TR Binary Options, which is owned and operated by Melnic Group Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20170531
31 May 2017
|
|
No additional comments posted.
|
|
CFD Capital Markets
|
British Columbia Securities Commission |
British Columbia
|
20170531
31 May 2017
|
|
No additional comments posted.
|
|
Same Day Finance (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170531
31 May 2017
|
|
No additional comments posted.
|
|
Atlantic Global Asset Management
|
Financial Market Authority |
Liechtenstein
|
20170531
31 May 2017
|
|
Warning notice: Questra Holdings Inc. / Questra World Ltd. / Atlantic Global Asset Management
|
|
Questra World Ltd.
|
Financial Market Authority |
Liechtenstein
|
20170531
31 May 2017
|
|
Warning notice: Questra Holdings Inc. / Questra World Ltd. / Atlantic Global Asset Management
|
|
Questra Holdings Inc.
|
Financial Market Authority |
Liechtenstein
|
20170531
31 May 2017
|
|
Warning notice: Questra Holdings Inc. / Questra World Ltd. / Atlantic Global Asset Management
|
|
Mera Finanz
|
Financial Market Authority |
Liechtenstein
|
20170531
31 May 2017
|
|
Warning of clone firm: Mera Finanz
|
|
Campbell & Browne / Campbell Brown
|
Financial Conduct Authority |
United Kingdom
|
20170530
30 May 2017
|
|
No additional comments posted.
|
|
First Plus Financial Group
|
Financial Conduct Authority |
United Kingdom
|
20170530
30 May 2017
|
|
Clone of a previously authorised firm
|
|
City Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170530
30 May 2017
|
|
No additional comments posted.
|
|
Williams & Chase Associates
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170529
29 May 2017
|
|
No additional comments posted.
|
|
The Swiss Method
|
Financial Market Authority |
Austria
|
20170529
29 May 2017
|
|
No additional comments posted.
|
|
www.wernerstocker.com
|
Financial Market Authority |
Austria
|
20170529
29 May 2017
|
|
No additional comments posted.
|
|
Trendtino Ltd
|
Financial Market Authority |
Austria
|
20170529
29 May 2017
|
|
No additional comments posted.
|
|
IALPHAGROUP
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170529
29 May 2017
|
|
No additional comments posted.
|
|
BINARY OPTIONS ROBOT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170529
29 May 2017
|
|
No additional comments posted.
|
|
Ashida Associates
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20170529
29 May 2017
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Global Alliance Capital
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20170529
29 May 2017
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
The Insiders Club
|
Securities and Futures Commission |
Hong Kong
|
20170526
26 May 2017
|
|
No additional comments posted.
|
|
Grandtag FBI (China) Wealth Management Group Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170526
26 May 2017
|
|
No additional comments posted.
|
|
Cash Loans For You (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170525
25 May 2017
|
|
No additional comments posted.
|
|
VTB Trade
|
Financial Services Commission |
Mauritius
|
20170525
25 May 2017
|
|
No additional comments posted.
|
|
Securities Market Agency
|
Securities Market Agency/Agencija Za Trg Vrednostnih Papirjev |
Slovenia
|
20170525
25 May 2017
|
|
No additional comments posted.
|
|
Barrons FX
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170524
24 May 2017
|
|
No additional comments posted.
|
|
Pioneer Asset Management (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170523
23 May 2017
|
|
Clone of EEA authorised firm that features on the FCA Register.
|
|
Chicago Law Group
|
Central Bank of Ireland |
Ireland
|
20170522
22 May 2017
|
|
Chicago Law Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
ARC GLOBAL TRADER, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170522
22 May 2017
|
|
No additional comments posted.
|
|
TRADEV LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170522
22 May 2017
|
|
No additional comments posted.
|
|
53 CAPITAL TRADE LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170522
22 May 2017
|
|
No additional comments posted.
|
|
PRIME FX BANK / PFXBANK
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170522
22 May 2017
|
|
No additional comments posted.
|
|
DGX SYSTEM LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170522
22 May 2017
|
|
No additional comments posted.
|
|
WWW.TOROPTION.COM/ES/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170522
22 May 2017
|
|
No additional comments posted.
|
|
FIRST INVESTMENTS CAPITAL MARKETS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170522
22 May 2017
|
|
No additional comments posted.
|
|
Blakestone Property
|
Financial Conduct Authority |
United Kingdom
|
20170519
19 May 2017
|
|
No additional comments posted.
|
|
Arkwright Property Development
|
Financial Conduct Authority |
United Kingdom
|
20170519
19 May 2017
|
|
No additional comments posted.
|
|
Security Capital Consultants / Securities Capital Consultants
|
Financial Conduct Authority |
United Kingdom
|
20170519
19 May 2017
|
|
No additional comments posted.
|
|
Izumi Ventures
|
Financial Conduct Authority |
United Kingdom
|
20170519
19 May 2017
|
|
No additional comments posted.
|
|
VRS Law Firm
|
Financial Conduct Authority |
United Kingdom
|
20170519
19 May 2017
|
|
No additional comments posted.
|
|
QARIBANK und WORLD Global Finances
|
Financial Market Authority |
Austria
|
20170519
19 May 2017
|
|
No additional comments posted.
|
|
Pro Futuro Finance Service S.A.
|
Financial Market Authority |
Austria
|
20170519
19 May 2017
|
|
No additional comments posted.
|
|
Trade24
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170519
19 May 2017
|
|
No additional comments posted.
|
|
Lucky Loans (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170518
18 May 2017
|
|
No additional comments posted.
|
|
PDL Finance Limited (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170518
18 May 2017
|
|
No additional comments posted.
|
|
Global InterGold
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170517
17 May 2017
|
|
No additional comments posted.
|
|
London Global Markets (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20170517
17 May 2017
|
|
No additional comments posted.
|
|
香港亞通金融集團 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20170517
17 May 2017
|
|
No additional comments posted.
|
|
Hilton & Frank Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170517
17 May 2017
|
|
No additional comments posted.
|
|
Davos Financial Investment Group / DFIG HK
|
Securities and Futures Commission |
Hong Kong
|
20170517
17 May 2017
|
|
No additional comments posted.
|
|
Finance Active UK Limited
|
Financial Conduct Authority |
United Kingdom
|
20170516
16 May 2017
|
|
No additional comments posted.
|
|
Marks & Spencer Bond (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170515
15 May 2017
|
|
No additional comments posted.
|
|
Stratton FX (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170515
15 May 2017
|
|
No additional comments posted.
|
|
BvB Advisory Limited (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170515
15 May 2017
|
|
No additional comments posted.
|
|
Norde Bank / Norde Limited
|
Financial Conduct Authority |
United Kingdom
|
20170515
15 May 2017
|
|
No additional comments posted.
|
|
Izumi Ventures / Monetary and Investment Authority
|
Finansinspektionen |
Sweden
|
20170515
15 May 2017
|
|
No additional comments posted.
|
|
Williams & Chase / Williams Chase
|
Financial Conduct Authority |
United Kingdom
|
20170512
12 May 2017
|
|
No additional comments posted.
|
|
Clayton Wealth Advisory
|
Financial Conduct Authority |
United Kingdom
|
20170512
12 May 2017
|
|
No additional comments posted.
|
|
ExxonFX (Revolution Markets LP)
|
Financial Conduct Authority |
United Kingdom
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
JW Global (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170511
11 May 2017
|
|
Clone of EEA authorised firm that features on the FCA Register.
|
|
Markus Spielmann Inc
|
Financial Conduct Authority |
United Kingdom
|
20170511
11 May 2017
|
|
Clone of EEA authorised firm that features on the FCA Register.
|
|
Ocean Star Capitals
|
Securities and Futures Commission |
Hong Kong
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Libor Capital
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
CFD Stocks
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Also known as 'Pacific Sunrise UK Ltd' and 'Aaoption'
|
|
Oproserv Limited t/a 365BinaryOption
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Trading as 365BinaryOption
|
|
Pearson Investments / Pearson Investments LLC
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Tain Capital
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Hedgestone Group
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
PWRTrade
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
also known as GN Capital Ltd
|
|
A.I.M. Corporation Limited
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
UMarkets
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Also known as Maxi Services Belize Ltd
|
|
PlusOption
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Safe Mark Limited
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
MBA Capital Limited
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Capital Strategy Partners
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Amber Capital Partners
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Futures Trading Standards Commission
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Fastcash Biz
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Binary Uno
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Yamanashi Asset Management
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Empire Asset Investments LLC
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
MCF Consultants
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
EDI International Limited
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Oak Harbour Limited
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Magnum Options
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Also known as Hampshire Capital Ventures Ltd
|
|
Boston Mergers and Acquisitions Board
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
United States Trading Commission
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Apollo Asset Management
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Prowex Solutions & Services Corporation (trading as Prowexinvest)
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Trading as Prowexinvest
|
|
Welch Burton Mergers & Acquisitions Inc.
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Capital Trust Management
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Imperial Trade Management Limited
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Rock Smith Options Limited
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Kaufman Franz Wealth Management
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Locker Global Management
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Locker Capital Management
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Urbanix Limited t/a Secured Options
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Trading as Secured Options
|
|
Trade 24
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Lead Capital Partners
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Up and Down Marketing Limited t/a One Two Trade
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Trading as One Two Trade
|
|
LM Swiss Direct Ltd (LM Swiss)
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Also known as SwissFX Pro
|
|
Asset Castle Investments Ltd
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
AMC International (HK) Limited
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Labanna Capital Management
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Ashton Cole Global Investments
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Intercontinental Financial Regulatory Board
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
Arista Capital Ventures
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
No additional comments posted.
|
|
HongKong Tooptions Ltd
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Also known as Tooptions
|
|
Omni Capital Ltd / Omni Global Solutions SRL
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Also known as OptionsXO
|
|
RBoptions
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Also known as Zulutoys Limited
|
|
CIT Investments Ltd
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Also known as Citrades
|
|
Bloombex Options
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Also known as Bloombex Ltd
|
|
Max Options
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Also known as Changecapital SM Ltd
|
|
Boss Capital
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
Also known as Cheshire Capital Ltd
|
|
Porter Finance
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
The entity is also known as Oracle Stone Limited
|
|
Go Trading Technologies Ltd
|
Australian Securities and Investments Commission |
Australia
|
20170511
11 May 2017
|
|
The entity is also known as GOptions
|
|
Binary Brokerz, owned by DSMG Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20170510
10 May 2017
|
|
No additional comments posted.
|
|
B4Option
|
British Columbia Securities Commission |
British Columbia
|
20170510
10 May 2017
|
|
No additional comments posted.
|
|
TorOption, owned and operated by Smart Choice Zone LP
|
British Columbia Securities Commission |
British Columbia
|
20170510
10 May 2017
|
|
No additional comments posted.
|
|
Best Connection Finance
|
Financial Conduct Authority |
United Kingdom
|
20170510
10 May 2017
|
|
No additional comments posted.
|
|
Interinvest-Group
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20170510
10 May 2017
|
|
No additional comments posted.
|
|
Alternative Investment Products
|
Financial Services and Markets Authority |
Belgium
|
20170509
09 May 2017
|
|
warning
|
|
Daniels and Mills Consultants LLC
|
Financial Conduct Authority |
United Kingdom
|
20170509
09 May 2017
|
|
No additional comments posted.
|
|
BBS Consulting / Best Broker Service
|
Financial Conduct Authority |
United Kingdom
|
20170509
09 May 2017
|
|
No additional comments posted.
|
|
Golden Mansion Global Financial Investment Limited / Golden Palace Global Financial Investment Limited / Golden Palace Global Limited / Jin Dian Global / Golden Mansion Limited
|
Securities and Futures Commission |
Hong Kong
|
20170509
09 May 2017
|
|
No additional comments posted.
|
|
Up4X ltd and ACG
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170508
08 May 2017
|
|
- the company Up4X ltd is not authorised to perform investment activities and services in Italy, by any means and, therefore, including via the website www.up4x.com;
more
|
|
Vhtrade International Financial Group
|
Securities and Futures Commission |
Hong Kong
|
20170508
08 May 2017
|
|
No additional comments posted.
|
|
Izumi Ventures
|
Securities and Futures Commission |
Hong Kong
|
20170508
08 May 2017
|
|
No additional comments posted.
|
|
SwissMain
|
Securities and Futures Commission |
Hong Kong
|
20170508
08 May 2017
|
|
No additional comments posted.
|
|
M-Markets
|
Securities and Futures Commission |
Hong Kong
|
20170508
08 May 2017
|
|
No additional comments posted.
|
|
Financial Concept Limited Hong Kong
|
Securities and Futures Commission |
Hong Kong
|
20170508
08 May 2017
|
|
No additional comments posted.
|
|
Zenith Investor
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170505
05 May 2017
|
|
No additional comments posted.
|
|
Devin Consultants
|
Financial Market Authority |
Austria
|
20170505
05 May 2017
|
|
No additional comments posted.
|
|
Europe Trade Limited / Europe Trade FX
|
Securities and Futures Commission |
Hong Kong
|
20170505
05 May 2017
|
|
No additional comments posted.
|
|
ENOI Europe Limited
|
Securities and Futures Commission |
Hong Kong
|
20170505
05 May 2017
|
|
No additional comments posted.
|
|
Icon Markets Limited, doing business as Hedgestone Group, operated by Nevski Ps Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20170502
02 May 2017
|
|
No additional comments posted.
|
|
FMA Global Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170502
02 May 2017
|
|
No additional comments posted.
|
|
Marshall & Grant Limited
|
Securities and Futures Commission |
Hong Kong
|
20170502
02 May 2017
|
|
No additional comments posted.
|
|
Questra Holdings, Questra World, Atlantic Global Asset Management
|
Financial Services and Markets Authority |
Belgium
|
20170502
02 May 2017
|
|
warning
|
|
Binary Tilt, operated by Chemmi Holdings Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20170501
01 May 2017
|
|
No additional comments posted.
|
|
Yatongjr
|
Financial Supervisory Commission |
Chinese Taipei
|
20170501
01 May 2017
|
|
Our records show that Yatongjr(香港亞通金融集團) does not have a license in Taiwan to conduct futures business. Besides, Yatongjr(香港亞通金融集團) has not legally registered in Taiwan.
more
|
|
Blackstoneh / BlacKstone
|
Securities and Futures Commission |
Hong Kong
|
20170428
28 Apr 2017
|
|
No additional comments posted.
|
|
Metis Etrade LLC
|
Securities and Futures Commission |
Hong Kong
|
20170428
28 Apr 2017
|
|
No additional comments posted.
|
|
www.ernsthofsetterglobal.com
|
Financial Market Authority |
Austria
|
20170427
27 Apr 2017
|
|
No additional comments posted.
|
|
Entrada Capital
|
Danish Financial Supervisory Authority |
Denmark
|
20170427
27 Apr 2017
|
|
The Danish Financial Supervisory Authority has been informed that Entrada Capital unsolicited has offered to carry out financial services in Denmark. The company's homepage is www.entradacapital.com.
more
|
|
FDS Research Group
|
Finansinspektionen |
Sweden
|
20170427
27 Apr 2017
|
|
No additional comments posted.
|
|
PSI Research
|
Finansinspektionen |
Sweden
|
20170427
27 Apr 2017
|
|
No additional comments posted.
|
|
Asia Dragon Capital Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170427
27 Apr 2017
|
|
No additional comments posted.
|
|
Global Marketing Online Limited / ADS Securities (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20170426
26 Apr 2017
|
|
No additional comments posted.
|
|
AF Technologies Ltd and KHO Tech Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170426
26 Apr 2017
|
|
CONSOB reports that the companies AF Technologies Ltd and KHO Tech Ltd are not authorised to perform investment activities services in Italy, by any means and, therefore, including via the website www.mrtmarkets.com
|
|
Coinspace Ltd - www.coinspace1.com
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170426
26 Apr 2017
|
|
CONSOB has approved the prohibition of advertising via the website www.coinspace1.com in relation to the public offer for ‘cryptocurrency extraction packages’ promoted by Coinspace Ltd. The offer had already been the subject of a precautionary 90-day
more
|
|
Blue Seal Limited and Blonde Bear Ou, Innovate Markets Ltd, Fx Choice Limited, S.O. Strategic Partnership Lp and Fintech Technologies Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170426
26 Apr 2017
|
|
CONSOB reports that companies:
more
|
|
www.dianesis.com
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170426
26 Apr 2017
|
|
CONSOB has suspended the offer to the Italian public concerning the investment programme named “rent to buy” carried out through the website www.dianesis.com for a period of 90 days.
|
|
HOME BROKER
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20170425
25 Apr 2017
|
|
Advisory Warning
|
|
Richmond Berks
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170425
25 Apr 2017
|
|
No additional comments posted.
|
|
Gyula Barta
|
Autorité des marchés financiers |
Quebec
|
20170421
21 Apr 2017
|
|
Based on the testimony of investors met by the AMF and the documents obtained, Gyula Barta set up at least two schemes to appropriate funds. He allegedly told various individuals that he was organizing a lottery event on behalf of a friend who wanted
more
|
|
CARTWRIGHT & BLYTH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170421
21 Apr 2017
|
|
No additional comments posted.
|
|
Zeb Insurance
|
Financial Conduct Authority |
United Kingdom
|
20170421
21 Apr 2017
|
|
No additional comments posted.
|
|
BLAKESTONE Property
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170421
21 Apr 2017
|
|
No additional comments posted.
|
|
MWI Consultants
|
Finansinspektionen |
Sweden
|
20170420
20 Apr 2017
|
|
No additional comments posted.
|
|
The Elliot Private Equity and Commission on Financial & Securities Compliance
|
Finansinspektionen |
Sweden
|
20170420
20 Apr 2017
|
|
No additional comments posted.
|
|
Zenith Investor
|
Financial Conduct Authority |
United Kingdom
|
20170420
20 Apr 2017
|
|
No additional comments posted.
|
|
Suisse Option / Primary Stream Limited
|
Securities and Futures Commission |
Hong Kong
|
20170420
20 Apr 2017
|
|
No additional comments posted.
|
|
Carmine Hoffman Law Firm LLP
|
Financial Conduct Authority |
United Kingdom
|
20170419
19 Apr 2017
|
|
No additional comments posted.
|
|
Armor Asia Limited
|
Securities and Futures Commission |
Hong Kong
|
20170413
13 Apr 2017
|
|
No additional comments posted.
|
|
Juno Markets / Juno Markets Limited
|
Securities and Futures Commission |
Hong Kong
|
20170413
13 Apr 2017
|
|
No additional comments posted.
|
|
www.ads-securites.com
|
Securities and Futures Commission |
Hong Kong
|
20170413
13 Apr 2017
|
|
No additional comments posted.
|
|
CITIC Tokyo International
|
Securities and Futures Commission |
Hong Kong
|
20170413
13 Apr 2017
|
|
No additional comments posted.
|
|
Jacob L. Callan
|
Securities and Futures Commission |
Hong Kong
|
20170413
13 Apr 2017
|
|
No additional comments posted.
|
|
Entrada Capital
|
Securities and Futures Commission |
Hong Kong
|
20170413
13 Apr 2017
|
|
No additional comments posted.
|
|
Binary Option Robot
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170412
12 Apr 2017
|
|
CONSOB reports that Binary Option Robot is not authorised in Italy to use cold calling, i.e. to promote or set up by means of any method, via distance communication, investment services or activities and, therefore, including via the www.binary-optio
more
|
|
DGH Sagl
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170411
11 Apr 2017
|
|
No additional comments posted.
|
|
Matchpoint Finance PLC
|
Financial Conduct Authority |
United Kingdom
|
20170411
11 Apr 2017
|
|
Please refer to the below link:
more
|
|
RBinary Limited
|
British Columbia Securities Commission |
British Columbia
|
20170410
10 Apr 2017
|
|
No additional comments posted.
|
|
Biuro Maklerskie Alior S.A.
|
Polish Financial Supervision Authority |
Poland
|
20170410
10 Apr 2017
|
|
No additional comments posted.
|
|
Labor Poland Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20170410
10 Apr 2017
|
|
No additional comments posted.
|
|
Questra Holding Inc.
|
Polish Financial Supervision Authority |
Poland
|
20170410
10 Apr 2017
|
|
No additional comments posted.
|
|
Questra World Global S.L.
|
Polish Financial Supervision Authority |
Poland
|
20170410
10 Apr 2017
|
|
No additional comments posted.
|
|
Atlantic Global Asset Management S.A.
|
Polish Financial Supervision Authority |
Poland
|
20170410
10 Apr 2017
|
|
No additional comments posted.
|
|
U Trade Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20170410
10 Apr 2017
|
|
No additional comments posted.
|
|
Ralston Consultancy Ltd
|
Financial Conduct Authority |
United Kingdom
|
20170410
10 Apr 2017
|
|
No additional comments posted.
|
|
Pearson Investments / Pearson Investments LLC
|
Securities and Futures Commission |
Hong Kong
|
20170407
07 Apr 2017
|
|
No additional comments posted.
|
|
Lawson Consultancy Limited
|
Financial Conduct Authority |
United Kingdom
|
20170407
07 Apr 2017
|
|
No additional comments posted.
|
|
Merc Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20170407
07 Apr 2017
|
|
No additional comments posted.
|
|
Nixdorf-AX Ventures Limited
|
Securities and Futures Commission |
Hong Kong
|
20170407
07 Apr 2017
|
|
No additional comments posted.
|
|
Investing Group Trading
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170407
07 Apr 2017
|
|
Investing Group Trading is not authorised to offer out-of-the-office, or promote or place through remote communication techniques in Italy, investment services or business in any way, and, therefore, neither through the website www.investinggrouptrad
more
|
|
Suisse Option
|
British Columbia Securities Commission |
British Columbia
|
20170407
07 Apr 2017
|
|
No additional comments posted.
|
|
Trade12, owned and operated by Exo Capital Markets Limited and Global Fin Services Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20170407
07 Apr 2017
|
|
No additional comments posted.
|
|
Money Information Service
|
Financial Conduct Authority |
United Kingdom
|
20170406
06 Apr 2017
|
|
No additional comments posted.
|
|
Lexus Group,MCA Advisors,Raeat Holdings Limited,Sino Link Japan,Mypal International Co,Limited,Bai Xin Cheng Limited,West Pacific Dealers
|
Financial Services and Markets Authority |
Belgium
|
20170406
06 Apr 2017
|
|
warning 'boiler rooms'
|
|
Aichi BMO International (ABMOI),Leiyu Trade Limited,GHY Partners Limited,Apex Alliance,Citic Tokyo International,Bai Xin Cheng Limited,Jin Yam (HK) Trade Co.,Limited,Drukenmiller Investment Services,Timmermans Asia Ltd,Hansen Peters Ltd,Sarandon Asia Ltd
|
Financial Services and Markets Authority |
Belgium
|
20170406
06 Apr 2017
|
|
warning 'boiler rooms'
|
|
Green Isle Limited
|
Financial Supervisory Commission |
Chinese Taipei
|
20170406
06 Apr 2017
|
|
Our records show that Green Isle Limited does neither have a license in Taiwan to conduct securities businesses nor have an authorization to offer securities firm services. Besides, Green Isle Limited has not legally registered under Taipei, Taiwan.
more
|
|
WWW.OEXGROUP.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170405
05 Apr 2017
|
|
No additional comments posted.
|
|
MT4INVEST
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170405
05 Apr 2017
|
|
No additional comments posted.
|
|
SIB AG CORPORATION / Switzerland Imperial Bank AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170404
04 Apr 2017
|
|
No additional comments posted.
|
|
Cartwright & Blyth Associates
|
Financial Conduct Authority |
United Kingdom
|
20170403
03 Apr 2017
|
|
No additional comments posted.
|
|
Offers to invest in diamonds
|
Autorité des marchés financiers |
France
|
20170403
03 Apr 2017
|
|
The French AMF is renewing its warning to investors about the number of offers to invest in diamonds. The offers continue to grow in number and use agressive marketing tactics.
|
|
CNV Argentina
|
Comisión Nacional de Valores |
Argentina
|
20170331
31 Mar 2017
|
|
No additional comments posted.
|
|
James & Company Limited
|
Financial Market Authority |
Austria
|
20170331
31 Mar 2017
|
|
No additional comments posted.
|
|
Skyllex PTY LTD
|
Financial Market Authority |
Austria
|
20170331
31 Mar 2017
|
|
No additional comments posted.
|
|
Unauthorised websites offering Forex investments
|
Autorité des marchés financiers |
France
|
20170330
30 Mar 2017
|
|
The AMF and the ACPR have jointly issued a warning on unauthorized websites offering forex trading containing the names of the newly identified sites. The full list can be found on the AMF's website.
|
|
www.anxinv.com
|
Securities and Futures Commission |
Hong Kong
|
20170330
30 Mar 2017
|
|
No additional comments posted.
|
|
BDL France
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20170329
29 Mar 2017
|
|
No additional comments posted.
|
|
www.profits25.com and Fin Group Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170329
29 Mar 2017
|
|
(CONSOB) has forbidden offers to the public resident in Italy for the purpose of investments of a financial nature, through the website www.profits25.com;
more
|
|
SouthBanco - www.southbanco.com
|
Polish Financial Supervision Authority |
Poland
|
20170329
29 Mar 2017
|
|
No additional comments posted.
|
|
Cressman Financial Group
|
Securities and Futures Commission |
Hong Kong
|
20170329
29 Mar 2017
|
|
No additional comments posted.
|
|
Platynowe Inwestycje S.A.
|
Polish Financial Supervision Authority |
Poland
|
20170329
29 Mar 2017
|
|
No additional comments posted.
|
|
AAFX Trading Capital / AAFX Trading Company Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170329
29 Mar 2017
|
|
No additional comments posted.
|
|
Global Ace Investment Limited
|
Securities and Futures Commission |
Hong Kong
|
20170329
29 Mar 2017
|
|
No additional comments posted.
|
|
The Huxford Group
|
Securities and Futures Commission |
Hong Kong
|
20170329
29 Mar 2017
|
|
No additional comments posted.
|
|
Agronomix France, Agronomix Canada inc.
|
Autorité des marchés financiers |
Quebec
|
20170328
28 Mar 2017
|
|
On January 18, 2017, the Tribunal administratif des marchés financiers (the “Tribunal”) issued ex parte orders prohibiting the respondents from engaging in any activity, directly or indirectly, in respect of a transaction in securities.
|
|
Prime FX Ltd
|
Financial Conduct Authority |
United Kingdom
|
20170328
28 Mar 2017
|
|
No additional comments posted.
|
|
websites offering binary options trading
|
Autorité des marchés financiers |
France
|
20170327
27 Mar 2017
|
|
The AMF is publishing a list of new websites offering trading in binary options for which no authorised investment service provider has been identified.
|
|
Sterling Consultancy Options (SC-Options),Owpremium,Swiss Capital Invest (Swiss Capital Invest / Swiss Capitallinvest), Atlasreference Unipessoal LDA
|
Financial Services and Markets Authority |
Belgium
|
20170327
27 Mar 2017
|
|
warning 'Binary Options, Forex Products and CFDs'
|
|
Finances Capital,Financial Futures Ltd (cloned firm),Digifirst Hungary Kft,FMTrader,Terapad Services Ltd,FM Marketing Ltd,Ivoryoption,Arya Group Ltd,Arianus Marketing LTD,London Global Markets,Markets Central Investment,OptionXchange,Globe & Co Ltd
|
Financial Services and Markets Authority |
Belgium
|
20170327
27 Mar 2017
|
|
warning 'Binary Options, Forex Products and CFDs'
|
|
Aaoption,CFDStocks,Pacific Sunrise UK Ltd,Benedict Morris,BMBOption,Log Trading Capital Ltd,BigOption,Wirestech Limited,Binarynvest,Brevan Invest,Kasuar Ventures Ltd,Capital Epargne,City Bank CFD,Comex Partners,Edgedale Finance,Gold Horizen Ltd
|
Financial Services and Markets Authority |
Belgium
|
20170327
27 Mar 2017
|
|
warning 'Binary Options,Forex products and CFDs'
|
|
Global Attorney Services Boston
|
Financial Conduct Authority |
United Kingdom
|
20170327
27 Mar 2017
|
|
No additional comments posted.
|
|
ReLoan UK
|
Financial Conduct Authority |
United Kingdom
|
20170327
27 Mar 2017
|
|
No additional comments posted.
|
|
Guaranteed Loans
|
Financial Conduct Authority |
United Kingdom
|
20170327
27 Mar 2017
|
|
No additional comments posted.
|
|
Fosun Management (UK) Ltd.
|
Financial Market Authority |
Austria
|
20170324
24 Mar 2017
|
|
No additional comments posted.
|
|
Lazard Asset Management (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170323
23 Mar 2017
|
|
Cloning details of FCA authorised firm
|
|
Godhand Edge Fund Management Llc
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170321
21 Mar 2017
|
|
CONSOB reports that the company Godhand Edge Fund Management Llc is not authorised to provide investment services or activities in Italy in any way.
|
|
Century Holdings Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170320
20 Mar 2017
|
|
No additional comments posted.
|
|
Empire Asset Investments Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170320
20 Mar 2017
|
|
No additional comments posted.
|
|
Service Merchant Corp. and Venice Investment Group Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170317
17 Mar 2017
|
|
CONSOB has prohibited:
more
|
|
Allied Capital Consultants
|
Financial Conduct Authority |
United Kingdom
|
20170317
17 Mar 2017
|
|
No additional comments posted.
|
|
ABSA WEALTH MANAGEMENT (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20170317
17 Mar 2017
|
|
Clone of a subsidiary of Barclays Africa Group
more
|
|
Brandywine (HK) Global Investment Management Limited / Brandywine HK Financial Management Company Limited
|
Securities and Futures Commission |
Hong Kong
|
20170317
17 Mar 2017
|
|
No additional comments posted.
|
|
www.oncediy.com
|
Securities and Futures Commission |
Hong Kong
|
20170317
17 Mar 2017
|
|
No additional comments posted.
|
|
Eastern Capital Limited
|
Securities and Exchange Commission |
Pakistan
|
20170316
16 Mar 2017
|
|
No additional comments posted.
|
|
Ace Securities (Private) Limited
|
Securities and Exchange Commission |
Pakistan
|
20170316
16 Mar 2017
|
|
No additional comments posted.
|
|
www.fxoilhk.com
|
Securities and Futures Commission |
Hong Kong
|
20170316
16 Mar 2017
|
|
No additional comments posted.
|
|
Southbourne Group
|
Securities and Futures Commission |
Hong Kong
|
20170316
16 Mar 2017
|
|
No additional comments posted.
|
|
Kanagawa Associates
|
Securities and Futures Commission |
Hong Kong
|
20170316
16 Mar 2017
|
|
No additional comments posted.
|
|
Yu Po International Investment Management Ltd
|
Financial Supervisory Commission |
Chinese Taipei
|
20170316
16 Mar 2017
|
|
Our records show that Yu Po International Investment Management Ltd does not have a license in Taiwan to conduct futures business. Besides, Yu Po International Investment Management Ltd has not legally registered in Taiwan.
more
|
|
Campbell & Browne Associates
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20170314
14 Mar 2017
|
|
No additional comments posted.
|
|
Asset Management Protection (AMP)
|
Financial Conduct Authority |
United Kingdom
|
20170313
13 Mar 2017
|
|
No additional comments posted.
|
|
JP Morgan Courtage (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20170313
13 Mar 2017
|
|
Clone of EEA authorised firm that features on the FCA Register.
|
|
M.R. Securities (SMC Pvt) Limited
|
Securities and Exchange Commission |
Pakistan
|
20170310
10 Mar 2017
|
|
No additional comments posted.
|
|
GE Money Financing (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170310
10 Mar 2017
|
|
No additional comments posted.
|
|
Aichi BMO International
|
Securities and Futures Commission |
Hong Kong
|
20170310
10 Mar 2017
|
|
No additional comments posted.
|
|
Capital Trust Management
|
Securities and Futures Commission |
Hong Kong
|
20170310
10 Mar 2017
|
|
No additional comments posted.
|
|
Global-FX / Global Partner HK Limited
|
Securities and Futures Commission |
Hong Kong
|
20170310
10 Mar 2017
|
|
No additional comments posted.
|
|
www.pacificeagleam.com
|
Securities and Futures Commission |
Hong Kong
|
20170309
09 Mar 2017
|
|
No additional comments posted.
|
|
Loans 2 Go
|
Financial Conduct Authority |
United Kingdom
|
20170308
08 Mar 2017
|
|
No additional comments posted.
|
|
MarketOnUs Ltd
|
Polish Financial Supervision Authority |
Poland
|
20170308
08 Mar 2017
|
|
No additional comments posted.
|
|
International Transfer Arkadiusz Radwański -
|
Polish Financial Supervision Authority |
Poland
|
20170308
08 Mar 2017
|
|
No additional comments posted.
|
|
Violet Earl Asset Management Ltd
|
Polish Financial Supervision Authority |
Poland
|
20170308
08 Mar 2017
|
|
No additional comments posted.
|
|
Goldman Reeves Ltd
|
Financial Conduct Authority |
United Kingdom
|
20170307
07 Mar 2017
|
|
No additional comments posted.
|
|
Loan and Go
|
Financial Conduct Authority |
United Kingdom
|
20170307
07 Mar 2017
|
|
No additional comments posted.
|
|
Walter Advisory Group
|
Securities and Futures Commission |
Hong Kong
|
20170307
07 Mar 2017
|
|
No additional comments posted.
|
|
Scion Forex Account Management, operating as Scion Forex and doing business as www.scionforex.com
|
Ontario Securities Commission |
Ontario
|
20170306
06 Mar 2017
|
|
Scion Forex Account Management operating as Scion Forex and doing business as www.scionforex.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities and (ii) advising anyone with respect to investing in buying
more
|
|
Apuro Forex
|
Securities and Futures Commission |
Hong Kong
|
20170306
06 Mar 2017
|
|
No additional comments posted.
|
|
Apuro Holdings Limited
|
Securities and Futures Commission |
Hong Kong
|
20170306
06 Mar 2017
|
|
No additional comments posted.
|
|
Best Leader Global Market NZ Limited
|
Securities and Futures Commission |
Hong Kong
|
20170306
06 Mar 2017
|
|
No additional comments posted.
|
|
LFG (Asia) Limited
|
Securities and Futures Commission |
Hong Kong
|
20170306
06 Mar 2017
|
|
No additional comments posted.
|
|
FX-BOUTIQUE
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170306
06 Mar 2017
|
|
No additional comments posted.
|
|
BFOREX LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170306
06 Mar 2017
|
|
No additional comments posted.
|
|
GRIZZLY LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170306
06 Mar 2017
|
|
No additional comments posted.
|
|
TITAN TRADE
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170306
06 Mar 2017
|
|
No additional comments posted.
|
|
NGB Consulting
|
Financial Market Authority |
Austria
|
20170306
06 Mar 2017
|
|
No additional comments posted.
|
|
www.schmidtkarlludwig.com
|
Financial Market Authority |
Austria
|
20170306
06 Mar 2017
|
|
No additional comments posted.
|
|
Courington Law
|
Financial Conduct Authority |
United Kingdom
|
20170303
03 Mar 2017
|
|
No additional comments posted.
|
|
Boston Legal Company
|
Financial Conduct Authority |
United Kingdom
|
20170303
03 Mar 2017
|
|
No additional comments posted.
|
|
Boston Private Law Group LLP
|
Central Bank of Ireland |
Ireland
|
20170303
03 Mar 2017
|
|
Boston Private Law Group LLP is not authorised to provide investment services to persons in Ireland. The firm purports to be based in the USA.
|
|
Mr Instant Cash
|
Financial Conduct Authority |
United Kingdom
|
20170303
03 Mar 2017
|
|
Clone of an authorised firm
|
|
Tide U Over
|
Financial Conduct Authority |
United Kingdom
|
20170303
03 Mar 2017
|
|
Clone of an authorised firm
|
|
Gem Loans / Jem Loans
|
Financial Conduct Authority |
United Kingdom
|
20170303
03 Mar 2017
|
|
Clone of an authorised firm
|
|
Floyd & Gordon Holdings
|
Securities and Futures Commission |
Hong Kong
|
20170303
03 Mar 2017
|
|
No additional comments posted.
|
|
Thompson Lloyd Baker Capital Specialists
|
Securities and Futures Commission |
Hong Kong
|
20170303
03 Mar 2017
|
|
No additional comments posted.
|
|
Forex Paradise Limited
|
Securities and Futures Commission |
Hong Kong
|
20170302
02 Mar 2017
|
|
No additional comments posted.
|
|
GMoption, LinkGM Limited and BT Systems Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170228
28 Feb 2017
|
|
CONSOB reports that the companies:
more
|
|
McKinley Thomas & Associates
|
Central Bank of Ireland |
Ireland
|
20170228
28 Feb 2017
|
|
McKinley Thomas & Associates is not authorised to provide investment services to persons in Ireland. The firm purports to be based in the USA.
|
|
AD Partners Solutions Ltd., doing business as www.optionarally.com
|
Ontario Securities Commission |
Ontario
|
20170227
27 Feb 2017
|
|
AD Partners Solutions Ltd. doing business as www.optionarally.com, is not registered in Ontario Canada to engage in the business of trading in securities.
|
|
TCM Investments Ltd. operating as OptionRally or Option Rally and doing business as www.optionrally.com
|
Ontario Securities Commission |
Ontario
|
20170227
27 Feb 2017
|
|
TCM Investments Ltd., operating as Option Rally and doing business as www.optionrally.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities and (ii) advising anyone with respect to investing in, buying or sel
more
|
|
VORTEX ASSETS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170227
27 Feb 2017
|
|
No additional comments posted.
|
|
Suisse Finance GmbH in Liquidation
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170224
24 Feb 2017
|
|
No additional comments posted.
|
|
Suisse Coin
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170224
24 Feb 2017
|
|
No additional comments posted.
|
|
Graumann & Partner S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20170222
22 Feb 2017
|
|
No additional comments posted.
|
|
Waldmann Asset Management,Cardan Limited,Cedan Limited,Grandwic Limited,Leston Limited,Manrich Limited, Mutual Hope Limited,Oxred Limited,Tricorp Limited,Wallace Associates Inc.
|
Financial Services and Markets Authority |
Belgium
|
20170221
21 Feb 2017
|
|
warning boiler rooms & recovery rooms
|
|
Hasegawa Financial Holdings,Elantra Limited,JEC Investment Limited,United Equity Clearing Limited,ICSID,Newton Invest,JH Trading,RT Trading,GS Info,Oshiro Associates,Parkwell & Company,Shaw,Edwards,Emmerson Knight
|
Financial Services and Markets Authority |
Belgium
|
20170221
21 Feb 2017
|
|
warning boiler rooms & recovery rooms
|
|
Xieze International Trading Limited, Gradual Investments Limited,Red Shield Financial,Rong Aviva Limited,Rubin Dunn,Tatsuno International,Thornwood Financial,Long Will Limited,William Paulstern,Camdan Limited
|
Financial Services and Markets Authority |
Belgium
|
20170221
21 Feb 2017
|
|
warning boiler rooms & recovery rooms
|
|
Eastern Quay Asset Management,Fujitsu Global,Asian Mercantile Exchange,Centric Limited,Global Consulting Europe,Monex Financial,Monex BMO Securities,Symando Corporation Limited,DFAN Limited,Nikko Desjardins Asset Management
|
Financial Services and Markets Authority |
Belgium
|
20170221
21 Feb 2017
|
|
warning boiler rooms & recovery rooms
|
|
Amicus Investment,Asashi Mergers & Acquisitions Group,Atlantic Global Asset Management,Brookfield99,Brookfield Investment Management,Capital Invest Europe,Cressman Financial Group,Tian Xi Fu Limited,Hongkong Ztwow Trade Limited
|
Financial Services and Markets Authority |
Belgium
|
20170221
21 Feb 2017
|
|
warning boiler rooms & recovery rooms
|
|
Ono Ventures
|
Securities and Futures Commission |
Hong Kong
|
20170221
21 Feb 2017
|
|
No additional comments posted.
|
|
Cap Growth FX
|
British Columbia Securities Commission |
British Columbia
|
20170220
20 Feb 2017
|
|
No additional comments posted.
|
|
EUROPEA DE FINANZAS Y MERCADOTECNIA, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170220
20 Feb 2017
|
|
No additional comments posted.
|
|
ANALISIS GLOBAL ASESORIA EMPRESARIAL, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170220
20 Feb 2017
|
|
No additional comments posted.
|
|
HTTP://ENKAIZEN.NEWS/INFO/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170220
20 Feb 2017
|
|
No additional comments posted.
|
|
ATLANTIC GLOBAL ASSET MANAGEMENT, S.A.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170220
20 Feb 2017
|
|
No additional comments posted.
|
|
DA Corporation Partners
|
Securities and Futures Commission |
Hong Kong
|
20170220
20 Feb 2017
|
|
No additional comments posted.
|
|
Kinetix Exploration Limited
|
Securities and Futures Commission |
Hong Kong
|
20170220
20 Feb 2017
|
|
No additional comments posted.
|
|
Wising Century Solartech Limited
|
Securities and Futures Commission |
Hong Kong
|
20170220
20 Feb 2017
|
|
No additional comments posted.
|
|
Paragon Advisors
|
Securities and Futures Commission |
Hong Kong
|
20170220
20 Feb 2017
|
|
No additional comments posted.
|
|
The Alden Group
|
Securities and Futures Commission |
Hong Kong
|
20170220
20 Feb 2017
|
|
No additional comments posted.
|
|
Rubin Dunn
|
Securities and Futures Commission |
Hong Kong
|
20170220
20 Feb 2017
|
|
No additional comments posted.
|
|
FX Jupiter
|
Financial Conduct Authority |
United Kingdom
|
20170217
17 Feb 2017
|
|
No additional comments posted.
|
|
Kawano and Associates
|
Central Bank of Ireland |
Ireland
|
20170217
17 Feb 2017
|
|
Kawano and Associates is not authorised to provide investment services to persons in Ireland. The firm purports to be based in Japan.
|
|
Mong Company Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170217
17 Feb 2017
|
|
No additional comments posted.
|
|
Ashton Cole Global / Ashton Cole Global Investments / AC Global Investments
|
Securities and Futures Commission |
Hong Kong
|
20170217
17 Feb 2017
|
|
No additional comments posted.
|
|
Maple Bank GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170215
15 Feb 2017
|
|
No additional comments posted.
|
|
Rubin Dunn
|
Danish Financial Supervisory Authority |
Denmark
|
20170214
14 Feb 2017
|
|
The Danish Financial Supervisory Authority has been informed that Rubin Dunn unsolicited has offered to carry out financial services. The company's address is International Commerce Centre, 1 Austin Road West, West Kowloon, Tsim Sha Tsui, Hong Kong
|
|
http://lokaty-inwestycje.com.pl/
|
Polish Financial Supervision Authority |
Poland
|
20170214
14 Feb 2017
|
|
No additional comments posted.
|
|
Kancelaria Finansowa Pyffel & Partners Sp. z o. o
|
Polish Financial Supervision Authority |
Poland
|
20170214
14 Feb 2017
|
|
No additional comments posted.
|
|
www.mhi-shipping.com
|
Securities and Futures Commission |
Hong Kong
|
20170214
14 Feb 2017
|
|
No additional comments posted.
|
|
Jazz Loans
|
Financial Conduct Authority |
United Kingdom
|
20170213
13 Feb 2017
|
|
No additional comments posted.
|
|
BURSATILE
|
Superintendencia del Mercado de Valores |
Panama
|
20170213
13 Feb 2017
|
|
Company not registered
|
|
Wainscott Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20170213
13 Feb 2017
|
|
No additional comments posted.
|
|
Coinspace Ltd and www.smartbotpro.com
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170213
13 Feb 2017
|
|
CONSOB has suspended for a period of 90 days, as a precautionary measure, the advertising activity carried out through the website www.coinspace1.com relating to the public offering promoted by Coinspace Ltd regarding “cryptocurrency extraction packa
more
|
|
CFDs, rolling spot forex, binary options
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170213
13 Feb 2017
|
|
CONSOB has published a communication for investor protection on the risks associated with new highly-speculative, risky and complex forms of financial investment such as contracts for difference (CFDs), rolling spot forex and binary options which, ov
more
|
|
Boston Private Law Group LLP
|
Financial Conduct Authority |
United Kingdom
|
20170213
13 Feb 2017
|
|
No additional comments posted.
|
|
Lawson Consultancy Limited
|
Central Bank of Ireland |
Ireland
|
20170213
13 Feb 2017
|
|
Lawson Cosnultancy Limited is not authorised to provide investment services to persons in Ireland. The firm purports to be based in the USA.
|
|
Asashi Mergers & Acquisitions (Japan)
|
Central Bank of Ireland |
Ireland
|
20170210
10 Feb 2017
|
|
Asashi Mergers & Acquisitions is not authorized to provide investment services to persons in Ireland. The firm purports to be based in Japan.
|
|
Tiger Brokers
|
Financial Supervisory Commission |
Chinese Taipei
|
20170210
10 Feb 2017
|
|
Our records show that Tiger Brokers which offers on-line securities brokerage services, does not have a license in Taiwan to conduct securities business nor have an authorization to offer investment services.
more
|
|
Seres Bio
|
Securities and Futures Commission |
Hong Kong
|
20170210
10 Feb 2017
|
|
No additional comments posted.
|
|
Celestial Trinity Limited
|
Financial Supervisory Commission |
Chinese Taipei
|
20170209
09 Feb 2017
|
|
Celestial Trinity Limited claims to be a portfolio management firm with offices at Taipei, Taiwan. Our records show that Celestial Trinity Limited does neither have a license in Taiwan to conduct securities businesses nor have an authorization to off
more
|
|
Thornwood Financial
|
Financial Supervisory Commission |
Chinese Taipei
|
20170209
09 Feb 2017
|
|
Thornwood Financial claims to be a portfolio management firm with offices at Taipei Century Plaza (456-458XinyiRoad,Xinyi District, Taipei, Taiwan).Our records show that Thornwood Financial does neither have a license in Taiwan to conduct securities
more
|
|
Horizon Holdings Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170209
09 Feb 2017
|
|
No additional comments posted.
|
|
Castle Holdings Limited
|
Securities and Futures Commission |
Hong Kong
|
20170209
09 Feb 2017
|
|
No additional comments posted.
|
|
Broad Reach Investments
|
Financial Conduct Authority |
United Kingdom
|
20170207
07 Feb 2017
|
|
No additional comments posted.
|
|
Donaldson Findlay
|
Financial Conduct Authority |
United Kingdom
|
20170207
07 Feb 2017
|
|
No additional comments posted.
|
|
Pacific Sunrise UK Ltd. (CFDStocks.com)
|
Financial Market Authority |
Austria
|
20170207
07 Feb 2017
|
|
No additional comments posted.
|
|
Eur Investment Limited
|
Financial Market Authority |
Austria
|
20170207
07 Feb 2017
|
|
No additional comments posted.
|
|
Canton Securities Geneva AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170207
07 Feb 2017
|
|
No additional comments posted.
|
|
Markets Capital Ltd and Hansa Equity SpA
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170207
07 Feb 2017
|
|
The company Markets Capital Ltd is not authorised to provide investment services and carry out business in Italy in any way, including through the website www.paydayoption.com.
more
|
|
transactions in diamonds
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20170207
07 Feb 2017
|
|
The Commissione Nazionale per le Società e la Borsa (CONSOB) calls the attention of the public and of intermediaries on the buying and selling of diamonds with regard to which it has received reports from consumers’ associations.
more
|
|
King’s Vision Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20170207
07 Feb 2017
|
|
No additional comments posted.
|
|
www.fxjupiter.com
|
Securities and Futures Commission |
Hong Kong
|
20170207
07 Feb 2017
|
|
No additional comments posted.
|
|
Keystone Management Ltd / Keystone Capital
|
Financial Conduct Authority |
United Kingdom
|
20170206
06 Feb 2017
|
|
No additional comments posted.
|
|
Blacksmith Investments Limited
|
Financial Conduct Authority |
United Kingdom
|
20170206
06 Feb 2017
|
|
No additional comments posted.
|
|
Harbex Finance Services
|
Financial Conduct Authority |
United Kingdom
|
20170206
06 Feb 2017
|
|
No additional comments posted.
|
|
OPV ADVISOR LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170206
06 Feb 2017
|
|
No additional comments posted.
|
|
Erste Allgemeine Arbeitnehmer Kranken- und Unterstützungskasse AK-UK
|
Financial Market Authority |
Austria
|
20170202
02 Feb 2017
|
|
No additional comments posted.
|
|
Ambrosia Capital
|
Financial Conduct Authority |
United Kingdom
|
20170202
02 Feb 2017
|
|
No additional comments posted.
|
|
The Finance Solutions
|
Financial Conduct Authority |
United Kingdom
|
20170202
02 Feb 2017
|
|
No additional comments posted.
|
|
Hansford / Hanford and Associates
|
Financial Conduct Authority |
United Kingdom
|
20170201
01 Feb 2017
|
|
No additional comments posted.
|
|
MoneyNetInt Limited
|
Polish Financial Supervision Authority |
Poland
|
20170131
31 Jan 2017
|
|
No additional comments posted.
|
|
Blue Sky Trade Services Limited
|
Polish Financial Supervision Authority |
Poland
|
20170131
31 Jan 2017
|
|
No additional comments posted.
|
|
Blue Sky Trade Limited
|
Polish Financial Supervision Authority |
Poland
|
20170131
31 Jan 2017
|
|
No additional comments posted.
|
|
Noble Brothers Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20170131
31 Jan 2017
|
|
No additional comments posted.
|
|
Accam AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170131
31 Jan 2017
|
|
No additional comments posted.
|
|
Evo Binary International DWC
|
Financial Market Authority |
Austria
|
20170130
30 Jan 2017
|
|
No additional comments posted.
|
|
JJ Matthias Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20170127
27 Jan 2017
|
|
Clone of EEA authorised firm that features on the FCA Register.
|
|
Colbert & Welling LLP
|
Central Bank of Ireland |
Ireland
|
20170127
27 Jan 2017
|
|
Colbert & Welling LLP is not authorized to provide investment services to persons in Ireland. The firm purports to be based in the USA.
|
|
Drakefield Corporate Partners
|
Central Bank of Ireland |
Ireland
|
20170127
27 Jan 2017
|
|
Drakefield Corporate Partners is not authorized to provide investment services to persons in Ireland. The firm purports to be based in the USA.
|
|
Hayashi and Partners / Hayashi International Equity Securities
|
Financial Conduct Authority |
United Kingdom
|
20170126
26 Jan 2017
|
|
No additional comments posted.
|
|
GKFX Financial Services Ltd. Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20170126
26 Jan 2017
|
|
GKFX Financial Services Ltd. Sp. z o.o. (branch office in Poland) with its registered office in Warszawa
|
|
FXOpen Markets Limited
|
Comissão de Valores Mobiliários |
Brazil
|
20170125
25 Jan 2017
|
|
Not authorized by the CVM of Brazil to offer investment opportunities to Brazilian Residents by any means, (online or other).
more
|
|
FBS MARKETS INC
|
Comissão de Valores Mobiliários |
Brazil
|
20170125
25 Jan 2017
|
|
Not authorized by the CVM of Brazil to offer investment opportunities to Brazilian Residents by any means, (online or other).
more
|
|
Business Grants and Loans
|
Financial Conduct Authority |
United Kingdom
|
20170124
24 Jan 2017
|
|
No additional comments posted.
|
|
Timber Hill Suisse
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170124
24 Jan 2017
|
|
No additional comments posted.
|
|
UK Money Lenders (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20170124
24 Jan 2017
|
|
No additional comments posted.
|
|
Redwood Options, operated by Hampshire Capital Ventures Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20170123
23 Jan 2017
|
|
No additional comments posted.
|
|
Viagefi 6 Limited
|
Autorité des marchés financiers |
France
|
20170123
23 Jan 2017
|
|
The French AMF has issued a warning stating that this fund, which is an AIF (alternative investment fund) authorised by the UK’s FCA as a “Small Internally Managed AIF”, is not authorised for sale in France.
|
|
Ebel & Partner Luxembourg S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20170123
23 Jan 2017
|
|
No additional comments posted.
|
|
Meritalis (Schweiz) GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170123
23 Jan 2017
|
|
No additional comments posted.
|
|
23 Traders
|
Danish Financial Supervisory Authority |
Denmark
|
20170123
23 Jan 2017
|
|
The Danish Financial Supervisory Authority has been informed that 23 Traders unsolicited has offered to carry out financial services in Denmark. The company's homepage is www.23traders.com.
|
|
Titan Trade
|
Danish Financial Supervisory Authority |
Denmark
|
20170123
23 Jan 2017
|
|
The Danish Financial Supervisory Authority has been informed that Titan Trade unsolicited has offered to carry out financial services in Denmark. The company's homepage is www.titantrade.com.
|
|
Ono Ventures
|
Financial Conduct Authority |
United Kingdom
|
20170120
20 Jan 2017
|
|
No additional comments posted.
|
|
Pullman International Limited
|
Securities and Futures Commission |
Hong Kong
|
20170120
20 Jan 2017
|
|
No additional comments posted.
|
|
Holland Financial Fiduciary Services, Netherlands
|
Securities and Futures Commission |
Hong Kong
|
20170120
20 Jan 2017
|
|
No additional comments posted.
|
|
HK Financial Fiduciary Services
|
Securities and Futures Commission |
Hong Kong
|
20170120
20 Jan 2017
|
|
No additional comments posted.
|
|
Right Capital Partners Limited
|
Financial Conduct Authority |
United Kingdom
|
20170119
19 Jan 2017
|
|
No additional comments posted.
|
|
TechOption
|
Danish Financial Supervisory Authority |
Denmark
|
20170119
19 Jan 2017
|
|
The Danish Financial Supervisory Authority has been informed that TechOption unsolicited has offered to carry out financial services in Denmark. The company's homepage is www.techoption.com.
|
|
Kimzeen Forex Management Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170119
19 Jan 2017
|
|
No additional comments posted.
|
|
SSW Market Making GMBH (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20170118
18 Jan 2017
|
|
Clone of a BAFIN registered firm
|
|
Go 4 UK Loans
|
Financial Conduct Authority |
United Kingdom
|
20170118
18 Jan 2017
|
|
Clone of an authorised firm
|
|
Swiss von Reding AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170118
18 Jan 2017
|
|
No additional comments posted.
|
|
Admiral Global Private Equity Group
|
Ontario Securities Commission |
Ontario
|
20170117
17 Jan 2017
|
|
Admiral Global Private Equity Group doing business as www.admiralglobal.com is not registered in Ontario, Canada, to engage in the business of (i) trading in securities and (ii) advising anyone with respect to investing in, buying or selling securiti
more
|
|
Loaningo
|
Financial Conduct Authority |
United Kingdom
|
20170117
17 Jan 2017
|
|
Clone of an authorised firm
|
|
IB INVERSIONES / IB INVERSION BURSATIL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170116
16 Jan 2017
|
|
No additional comments posted.
|
|
AAOPTION
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170116
16 Jan 2017
|
|
No additional comments posted.
|
|
Diamond Loans
|
Financial Conduct Authority |
United Kingdom
|
20170116
16 Jan 2017
|
|
Clone of an authorised firm
|
|
Piccor AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170116
16 Jan 2017
|
|
No additional comments posted.
|
|
Finance & Investment Association (Asia) / Finance & Investment Association Hong Kong
|
Securities and Futures Commission |
Hong Kong
|
20170113
13 Jan 2017
|
|
No additional comments posted.
|
|
Pageon Bank S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20170112
12 Jan 2017
|
|
No additional comments posted.
|
|
FXGOLDSYSTEM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20170112
12 Jan 2017
|
|
No additional comments posted.
|
|
Rhine & Associates / Rhine Associates
|
Financial Conduct Authority |
United Kingdom
|
20170112
12 Jan 2017
|
|
No additional comments posted.
|
|
FengSheng Stock Invest / FengSheng Capital Limited / Hongkong Fengsheng Stock Investment Company Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170112
12 Jan 2017
|
|
No additional comments posted.
|
|
Carlson-Schmidt Securities
|
Securities and Futures Commission |
Hong Kong
|
20170112
12 Jan 2017
|
|
No additional comments posted.
|
|
Colbert & Welling
|
Financial Conduct Authority |
United Kingdom
|
20170111
11 Jan 2017
|
|
No additional comments posted.
|
|
Liffe Exchange (clone)
|
Financial Conduct Authority |
United Kingdom
|
20170111
11 Jan 2017
|
|
No additional comments posted.
|
|
Savage Finance Limited
|
Financial Conduct Authority |
United Kingdom
|
20170110
10 Jan 2017
|
|
No additional comments posted.
|
|
Liberty Holdings Ltd
|
Securities and Futures Commission |
Hong Kong
|
20170110
10 Jan 2017
|
|
No additional comments posted.
|
|
iCoption
|
Securities and Futures Commission |
Hong Kong
|
20170110
10 Jan 2017
|
|
No additional comments posted.
|
|
Asian Mercantile Exchange
|
Securities and Futures Commission |
Hong Kong
|
20170110
10 Jan 2017
|
|
No additional comments posted.
|
|
Fujitsu Global
|
Securities and Futures Commission |
Hong Kong
|
20170110
10 Jan 2017
|
|
No additional comments posted.
|
|
卓益財富集團 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20170110
10 Jan 2017
|
|
No additional comments posted.
|
|
Little Loans Limited
|
Financial Conduct Authority |
United Kingdom
|
20170109
09 Jan 2017
|
|
No additional comments posted.
|
|
Galleri New Form
|
Polish Financial Supervision Authority |
Poland
|
20170109
09 Jan 2017
|
|
No additional comments posted.
|
|
Offers to invest in diamonds
|
Autorité des marchés financiers |
France
|
20170106
06 Jan 2017
|
|
The French AMF is warning investors about a growing number of offers to invest in diamonds. The marketing discourse is similar to that used by binary option and forex trading platforms.
|
|
Inter Global
|
British Columbia Securities Commission |
British Columbia
|
20170105
05 Jan 2017
|
|
No additional comments posted.
|
|
Royal Downing Investments
|
British Columbia Securities Commission |
British Columbia
|
20170105
05 Jan 2017
|
|
No additional comments posted.
|
|
StoxMarket, owned and operated by Marketier Holdings Limited
|
British Columbia Securities Commission |
British Columbia
|
20170105
05 Jan 2017
|
|
No additional comments posted.
|
|
BinaryBook, owned and operated by Tech SB Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20170105
05 Jan 2017
|
|
No additional comments posted.
|
|
Drukenmiller Investment Service
|
Securities and Futures Commission |
Hong Kong
|
20170105
05 Jan 2017
|
|
No additional comments posted.
|
|
liquid-fx GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20170105
05 Jan 2017
|
|
No additional comments posted.
|
|
InstaForex Group
|
Comissão de Valores Mobiliários |
Brazil
|
20170104
04 Jan 2017
|
|
Not authorized by the CVM of Brazil to offer investment opportunities to Brazilian Residents by any means, (online or other).
more
|
|
Stockfield Associates Group
|
Financial Conduct Authority |
United Kingdom
|
20170104
04 Jan 2017
|
|
No additional comments posted.
|
|
Peak Capital Management
|
Securities and Futures Commission |
Hong Kong
|
20170103
03 Jan 2017
|
|
No additional comments posted.
|
|
ESA Holding GmbH
|
Financial Market Authority |
Austria
|
20170103
03 Jan 2017
|
|
No additional comments posted.
|
|
www.wismullergunter.com
|
Financial Market Authority |
Austria
|
20170103
03 Jan 2017
|
|
No additional comments posted.
|
|
Binary Option Auto Trading
|
Danish Financial Supervisory Authority |
Denmark
|
20170102
02 Jan 2017
|
|
The Danish Financial Supervisory Authority has been informed that Binary Option Auto Trading unsolicited has offered to carry out financial services in Denmark. The company's address is unknown, but the company's homepage is www.binaryoptionautotradi
more
|
|
unauthorised websites offering binary options trading
|
Autorité des marchés financiers |
France
|
20170102
02 Jan 2017
|
|
The French AMF has published a warning containing newly identified, unauthorised websites offering trading in binary options.
|
|
XMAXBIT
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20161228
28 Dec 2016
|
|
Advisory Warning - entity falsely purporting to be registered and incorporated in the British Virgin Islands
|
|
www.profits25.com, Advanced Binary Technologies Ltd, Cumberland Capital Ltd, Altair Entertainment Nv, Payific Ltd, Capital Force Ltd, Brooks Partners, Pel Ltd, S&Y Market Kft, Broker Yard, Techofin Ltd and OCapital Lp
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161228
28 Dec 2016
|
|
No additional comments posted.
|
|
Service Merchant Corp.
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161228
28 Dec 2016
|
|
No additional comments posted.
|
|
www.profitmaximizer.com, Dsmg Ltd and Europe Ridge Eood, Evolution Trade Lp and Revolution Markets Lp, International Partners, Gmi Bq Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161228
28 Dec 2016
|
|
No additional comments posted.
|
|
Sealand Trading (Hong Kong) Limited
|
Securities and Futures Commission |
Hong Kong
|
20161228
28 Dec 2016
|
|
No additional comments posted.
|
|
DFRF Enterprises, LLC
|
Securities and Futures Commission |
Hong Kong
|
20161228
28 Dec 2016
|
|
No additional comments posted.
|
|
Collardi Capital Management S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Marshall Software
|
Polish Financial Supervision Authority |
Poland
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Horseshoe Credit Union (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20161223
23 Dec 2016
|
|
Clone of FCA Authorised Firm
|
|
Marshall Advanced Innovation
|
Polish Financial Supervision Authority |
Poland
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Joshua Consulting Ltd
|
Polish Financial Supervision Authority |
Poland
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
IL Trade sp. z o. o.
|
Polish Financial Supervision Authority |
Poland
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Bloomfx sp. z o. o.
|
Polish Financial Supervision Authority |
Poland
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Alpha Advanced Innovation Limited
|
Polish Financial Supervision Authority |
Poland
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Alpha Finex Ltd
|
Polish Financial Supervision Authority |
Poland
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Trademarker Cyprus Ltd
|
Polish Financial Supervision Authority |
Poland
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Witold Witczak Firma FACTOR
|
Polish Financial Supervision Authority |
Poland
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Rothschild Private Wealth (Clone of FCA Authorised Firm)
|
Financial Conduct Authority |
United Kingdom
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
DFRF Enterprises LLC
|
Securities and Futures Commission |
Hong Kong
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Braemar Capital of Hong Kong
|
Securities and Futures Commission |
Hong Kong
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
www.yun199.com
|
Securities and Futures Commission |
Hong Kong
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Soleil Chartered Investments
|
Securities and Futures Commission |
Hong Kong
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Lawton & Yeung
|
Securities and Futures Commission |
Hong Kong
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Nikko-Desjardins Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
William Paulstern
|
Securities and Futures Commission |
Hong Kong
|
20161223
23 Dec 2016
|
|
No additional comments posted.
|
|
Mulvey & Hanson LLP
|
Financial Conduct Authority |
United Kingdom
|
20161222
22 Dec 2016
|
|
No additional comments posted.
|
|
RIDGE CAPITAL MARKETS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20161222
22 Dec 2016
|
|
No additional comments posted.
|
|
Orient Int’l Copyright Trading Holdings Limited / Oriental International Culture and Art Exchange Platform
|
Securities and Futures Commission |
Hong Kong
|
20161222
22 Dec 2016
|
|
No additional comments posted.
|
|
Aegis Corporation Ltd
|
Securities and Futures Commission |
Hong Kong
|
20161222
22 Dec 2016
|
|
No additional comments posted.
|
|
Finance 2All
|
Financial Conduct Authority |
United Kingdom
|
20161221
21 Dec 2016
|
|
Clone of an authorised firm
|
|
Capital Bridging Finance No.1 Limited
|
Financial Conduct Authority |
United Kingdom
|
20161221
21 Dec 2016
|
|
Clone of a UK Registered firm
|
|
Einstein Transfer Ltd
|
Financial Conduct Authority |
United Kingdom
|
20161221
21 Dec 2016
|
|
No additional comments posted.
|
|
Graceful Motors Ltd
|
Financial Conduct Authority |
United Kingdom
|
20161221
21 Dec 2016
|
|
No additional comments posted.
|
|
Geneva Option
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161220
20 Dec 2016
|
|
No additional comments posted.
|
|
Campton Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20161219
19 Dec 2016
|
|
No additional comments posted.
|
|
Tokachi Group
|
Finansinspektionen |
Sweden
|
20161219
19 Dec 2016
|
|
No additional comments posted.
|
|
Nikko-Desjardins Asset Management
|
Finansinspektionen |
Sweden
|
20161219
19 Dec 2016
|
|
No additional comments posted.
|
|
Lexus Group
|
Finansinspektionen |
Sweden
|
20161219
19 Dec 2016
|
|
No additional comments posted.
|
|
IBA Markets
|
Financial Conduct Authority |
United Kingdom
|
20161216
16 Dec 2016
|
|
No additional comments posted.
|
|
Sfilbank
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20161216
16 Dec 2016
|
|
No additional comments posted.
|
|
Penflow Ltd
|
Financial Conduct Authority |
United Kingdom
|
20161216
16 Dec 2016
|
|
Clone of a UK Registered firm
|
|
Money Matcher Ltd
|
Financial Conduct Authority |
United Kingdom
|
20161216
16 Dec 2016
|
|
No additional comments posted.
|
|
www.xsvg.com
|
Securities and Futures Commission |
Hong Kong
|
20161216
16 Dec 2016
|
|
No additional comments posted.
|
|
BinaryOnline, owned and operated by Zola Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20161216
16 Dec 2016
|
|
No additional comments posted.
|
|
BSDOption, operated by Lybss Ltd. and owned by YDBM Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20161216
16 Dec 2016
|
|
No additional comments posted.
|
|
Pel Ltd, Kakao Ltd and LM Swiss Group Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161214
14 Dec 2016
|
|
CONSOB reports that the companies: Pel Ltd and Kakao Ltd
more
|
|
Recyclix Sp. z.o.o.
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161214
14 Dec 2016
|
|
CONSOB has adopted a measure prohibiting the offering to the public resident in Italy made by the company Recyclix SP. Z.O.O., regarding investments of a financial nature promoted also through the website www.recyclix.com (Resolution no. 19799 of 6 D
more
|
|
Florin Investment Limited
|
Securities and Futures Commission |
Hong Kong
|
20161214
14 Dec 2016
|
|
No additional comments posted.
|
|
United Rich Capital Investment Limited
|
Securities and Futures Commission |
Hong Kong
|
20161214
14 Dec 2016
|
|
No additional comments posted.
|
|
72Option, owned and operated by Epic Ventures Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20161213
13 Dec 2016
|
|
No additional comments posted.
|
|
Option Stars and OptionStarsGlobal, owned by Novox Capital Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20161213
13 Dec 2016
|
|
No additional comments posted.
|
|
Titan Trade
|
British Columbia Securities Commission |
British Columbia
|
20161213
13 Dec 2016
|
|
No additional comments posted.
|
|
Alpha Innovative Strategies Ltd
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20161213
13 Dec 2016
|
|
No additional comments posted.
|
|
Lawson Management Group LLC
|
Financial Conduct Authority |
United Kingdom
|
20161212
12 Dec 2016
|
|
No additional comments posted.
|
|
LCM BROKERS – Lead Capital Makers Ltd.
|
Financial Market Authority |
Austria
|
20161212
12 Dec 2016
|
|
No additional comments posted.
|
|
ABS Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20161212
12 Dec 2016
|
|
No additional comments posted.
|
|
CTI Limited
|
Securities and Futures Commission |
Hong Kong
|
20161212
12 Dec 2016
|
|
No additional comments posted.
|
|
AWDH Trading Limited
|
Securities and Futures Commission |
Hong Kong
|
20161212
12 Dec 2016
|
|
No additional comments posted.
|
|
www.mbacapltd.com
|
Securities and Futures Commission |
Hong Kong
|
20161212
12 Dec 2016
|
|
No additional comments posted.
|
|
Featherstone Pte Limited
|
Securities and Futures Commission |
Hong Kong
|
20161212
12 Dec 2016
|
|
No additional comments posted.
|
|
Safe Mark Limited
|
Securities and Futures Commission |
Hong Kong
|
20161212
12 Dec 2016
|
|
No additional comments posted.
|
|
V.T. Robinsons
|
Securities and Futures Commission |
Hong Kong
|
20161212
12 Dec 2016
|
|
No additional comments posted.
|
|
Langford Nachman
|
Securities and Futures Commission |
Hong Kong
|
20161212
12 Dec 2016
|
|
No additional comments posted.
|
|
Kyburg Financial GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161209
09 Dec 2016
|
|
No additional comments posted.
|
|
Novostar Finance Co Ltd
|
Financial Conduct Authority |
United Kingdom
|
20161209
09 Dec 2016
|
|
No additional comments posted.
|
|
Orix Capital Trading
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20161208
08 Dec 2016
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Blue Print Investment
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161207
07 Dec 2016
|
|
No additional comments posted.
|
|
Reinhard Hofer International / Reinhard Hofer Venture Partners
|
Financial Conduct Authority |
United Kingdom
|
20161207
07 Dec 2016
|
|
Clone of EEA authorised firm that features on the FCA Register.
|
|
Ernst Hofsetter Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20161207
07 Dec 2016
|
|
Clone of EEA authorised firm that features on the FCA Register.
|
|
Tharapatong Limited
|
Securities and Futures Commission |
Hong Kong
|
20161207
07 Dec 2016
|
|
No additional comments posted.
|
|
Softbank CIBC International
|
Securities and Futures Commission |
Hong Kong
|
20161207
07 Dec 2016
|
|
No additional comments posted.
|
|
Thornwood Financial
|
Securities and Futures Commission |
Hong Kong
|
20161207
07 Dec 2016
|
|
No additional comments posted.
|
|
Lexus Group
|
Securities and Futures Commission |
Hong Kong
|
20161207
07 Dec 2016
|
|
No additional comments posted.
|
|
HC Capital Asia
|
Securities and Futures Commission |
Hong Kong
|
20161207
07 Dec 2016
|
|
No additional comments posted.
|
|
Dom Maklerski Pekao - separate organizational unit of the Polish bank Bank Polska Kasa Opieki S.A.
|
Polish Financial Supervision Authority |
Poland
|
20161207
07 Dec 2016
|
|
No additional comments posted.
|
|
Nuntius Chrimatistiriaki Anonimos Eteria Parochis Ependitikon Ipiresion SA Oddział w Polsce (Polish branch)
|
Polish Financial Supervision Authority |
Poland
|
20161207
07 Dec 2016
|
|
No additional comments posted.
|
|
www.finalalgo.com, www.europroftrader.com, www.trading30elode-it.com and www.trading30elode-ita.com
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161206
06 Dec 2016
|
|
the websites www.finalalgo.com, www.europroftrader.com, www.trading30elode-it.com and www.trading30elode-ita.com cannot be traced to subjects authorised to provide investment services and activities in Italy nor to make out-of-office offers or place
more
|
|
MarketsTheWorld Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161206
06 Dec 2016
|
|
the company MarketsTheWorld Limited is not authorised to provide investment services and activities in Italy in any manner, including through the website www.marketsworld.com.
|
|
Bauer Ferienwohnrechte Gmbh
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161206
06 Dec 2016
|
|
the company Bauer Ferienwohnrechte Gmbh is not authorised to provide investment services and activities in Italy in any manner, including through the website www.bauerferienwohnrechte.de
|
|
Global Future City Holdings (Hong Kong) Company Limited
|
Securities and Futures Commission |
Hong Kong
|
20161206
06 Dec 2016
|
|
No additional comments posted.
|
|
Global Future City Holding Inc.
|
Securities and Futures Commission |
Hong Kong
|
20161206
06 Dec 2016
|
|
No additional comments posted.
|
|
GODHAND Fund Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161206
06 Dec 2016
|
|
No additional comments posted.
|
|
Westburn Finance (clone)
|
Financial Conduct Authority |
United Kingdom
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
Totally Money (clone)
|
Financial Conduct Authority |
United Kingdom
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
SOLIDARY MARKETS FX (SMFX) HTTP://SOLIDARYMARKETS.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
WWW.STOCKSCALL.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
WWW.CLICKBANCA.ES/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
WWW.FB-ONE.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
Atlantic Global Asset Management, SA
|
Financial Market Authority |
Austria
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
DRUKENMILLER INVESTMENT SERVICES
|
Financial Market Authority |
Austria
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
Kings View Capital Advisors
|
Securities and Futures Commission |
Hong Kong
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
Kaufman Capital Management
|
Securities and Futures Commission |
Hong Kong
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
Somerset Capital Limited
|
Securities and Futures Commission |
Hong Kong
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
Mitsui Credit Global
|
Securities and Futures Commission |
Hong Kong
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
Resona Corporate Partners
|
Securities and Futures Commission |
Hong Kong
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
Franklin Transfer Services
|
Securities and Futures Commission |
Hong Kong
|
20161205
05 Dec 2016
|
|
No additional comments posted.
|
|
Miyake Gould Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20161202
02 Dec 2016
|
|
No additional comments posted.
|
|
Zimmermann Global
|
Financial Conduct Authority |
United Kingdom
|
20161202
02 Dec 2016
|
|
Clone of EEA authorised firm that features on the FCA Register.
|
|
DVP Consulting GmbH
|
Financial Conduct Authority |
United Kingdom
|
20161202
02 Dec 2016
|
|
Clone of EEA authorised firm that features on the FCA Register.
|
|
Kojima Ventures
|
Financial Conduct Authority |
United Kingdom
|
20161202
02 Dec 2016
|
|
No additional comments posted.
|
|
PEGASUS Capital Advisors Europe
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161201
01 Dec 2016
|
|
No additional comments posted.
|
|
Garant Capital Swiss AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161201
01 Dec 2016
|
|
No additional comments posted.
|
|
Rhodium Forex / WR Trade
|
Financial Conduct Authority |
United Kingdom
|
20161201
01 Dec 2016
|
|
No additional comments posted.
|
|
Algo Capital (clone)
|
Financial Conduct Authority |
United Kingdom
|
20161130
30 Nov 2016
|
|
No additional comments posted.
|
|
Avalon Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20161130
30 Nov 2016
|
|
No additional comments posted.
|
|
Alfons Eichler Private Bank IBC
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161130
30 Nov 2016
|
|
No additional comments posted.
|
|
Binary options
|
Autorité des marchés financiers |
Quebec
|
20161129
29 Nov 2016
|
|
Once again, the Autorité des marchés financiers (the “AMF”) is sounding the alarm and alerting Québec consumers to the dangers of binary options. The AMF wishes to stress that no business is currently authorized to market or offer binary options in Q
more
|
|
U-Nex Solutions SRL doing business as www.zurichprime.com
|
Ontario Securities Commission |
Ontario
|
20161128
28 Nov 2016
|
|
U-Nex Solutions SRL doing business as www.zurichprime.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities.
|
|
U-Nex Global Ltd operating as Zurich Prime
|
Ontario Securities Commission |
Ontario
|
20161128
28 Nov 2016
|
|
U-Nex Global Ltd operating as Zurich Prime doing business as www.zurichprime.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities.
|
|
BANCO CFD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20161128
28 Nov 2016
|
|
No additional comments posted.
|
|
Search Loans Ltd
|
Financial Conduct Authority |
United Kingdom
|
20161124
24 Nov 2016
|
|
No additional comments posted.
|
|
The Loan Lenders
|
Financial Conduct Authority |
United Kingdom
|
20161124
24 Nov 2016
|
|
No additional comments posted.
|
|
Pearson Global Markets / Pearson Global Clients
|
Financial Conduct Authority |
United Kingdom
|
20161123
23 Nov 2016
|
|
No additional comments posted.
|
|
PROWEX Solutions & Services Corporation
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161123
23 Nov 2016
|
|
No additional comments posted.
|
|
Delta Asset Management AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161123
23 Nov 2016
|
|
No additional comments posted.
|
|
Lawson Management Group LLC
|
Central Bank of Ireland |
Ireland
|
20161122
22 Nov 2016
|
|
Lawson Management Group LLC is not authorized to provide investment services to persons in Ireland. The firm purports to be based in USA.
|
|
Nemesis Capital Limited and Nemesis Capital Bg Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161122
22 Nov 2016
|
|
CONSOB reports that the companies Nemesis Capital Limited and Nemesis Capital Bg Limited are not authorised to provide investment services or carry out activities in Italy in any way and, therefore not even through the website www.alfatrade.com
|
|
Watkins Consultancy Ltd
|
Financial Conduct Authority |
United Kingdom
|
20161121
21 Nov 2016
|
|
No additional comments posted.
|
|
BLS Investments
|
Danish Financial Supervisory Authority |
Denmark
|
20161121
21 Nov 2016
|
|
The Danish Financial Supervisory Authority has been informed that a foreign company, BLS Investments, has a website on the internet, which can easily mislead customers to believe that it is the website of BLS Capital Fondsmæglerselskab A/S. BLS Capit
more
|
|
Dr. Peter Müller
|
Financial Market Authority |
Austria
|
20161118
18 Nov 2016
|
|
No additional comments posted.
|
|
Global Dynamic
|
Financial Market Authority |
Austria
|
20161118
18 Nov 2016
|
|
No additional comments posted.
|
|
Questra World Ltd.
|
Financial Market Authority |
Austria
|
20161118
18 Nov 2016
|
|
No additional comments posted.
|
|
Private Venture Capital Group
|
Securities and Futures Commission |
Hong Kong
|
20161118
18 Nov 2016
|
|
No additional comments posted.
|
|
First Venture Capital Group
|
Securities and Futures Commission |
Hong Kong
|
20161118
18 Nov 2016
|
|
No additional comments posted.
|
|
Banking Option
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161117
17 Nov 2016
|
|
No additional comments posted.
|
|
AMC International (HK) Limited
|
Securities and Futures Commission |
Hong Kong
|
20161117
17 Nov 2016
|
|
No additional comments posted.
|
|
M J Ansen (clone)
|
Financial Conduct Authority |
United Kingdom
|
20161117
17 Nov 2016
|
|
Clone of EEA authorised firm that features on the FCA Register.
|
|
Datafin 1985
|
Financial Market Authority |
Liechtenstein
|
20161117
17 Nov 2016
|
|
Warning notice: www.datafin1985.com
|
|
Piortello Ltd and Go24Invest
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161114
14 Nov 2016
|
|
The companies Piortello Ltd and Go24Invest are not authorised to provide investment services in Italy in any way.
|
|
Cathedral Core Service Limited Partnership
|
Securities and Futures Commission |
Hong Kong
|
20161114
14 Nov 2016
|
|
No additional comments posted.
|
|
Peterson Group
|
Securities and Futures Commission |
Hong Kong
|
20161111
11 Nov 2016
|
|
No additional comments posted.
|
|
Kaplan Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20161111
11 Nov 2016
|
|
No additional comments posted.
|
|
HC Capital Trust
|
Securities and Futures Commission |
Hong Kong
|
20161110
10 Nov 2016
|
|
No additional comments posted.
|
|
Carmann,Reed,Edwards Associates Lawyers,Tunner Grant & Associates,Carmann Consultancy Services,Dodson Norword,Kimball Group International Limited,PVSS Holdings Limited,Ephraim Global,Boltin Limited,Hamberg Limited,Frank Bossuyt & Partners
|
Financial Services and Markets Authority |
Belgium
|
20161108
08 Nov 2016
|
|
warning boiler rooms et recovery rooms
|
|
UK Loans
|
Financial Conduct Authority |
United Kingdom
|
20161108
08 Nov 2016
|
|
No additional comments posted.
|
|
Scorpion Loans
|
Financial Conduct Authority |
United Kingdom
|
20161108
08 Nov 2016
|
|
No additional comments posted.
|
|
marketing communications to invest in diamonds
|
Autorité des marchés financiers |
France
|
20161104
04 Nov 2016
|
|
The French AMF has just published a warning regarding the marketing communications from BLUE STONE LTD via several web sites proposing offers to invest in diamonds.
|
|
Ono Ventures
|
Central Bank of Ireland |
Ireland
|
20161104
04 Nov 2016
|
|
Ono Ventures is not authorized to provide investment services to persons in Ireland. The firm purports to be based in Japan.
|
|
Dashan International
|
Securities and Futures Commission |
Hong Kong
|
20161104
04 Nov 2016
|
|
No additional comments posted.
|
|
www.theprofitsalgorithm.com and www.italianmethod.com
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161103
03 Nov 2016
|
|
CONSOB reports that the sites www.theprofitsalgorithm.com and www.italianmethod.com cannot be traced to subjects authorised to provide investment services and activities in Italy.
|
|
Innovative Investment Holding Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161103
03 Nov 2016
|
|
CONSOB has prohibited advertising activity related to the offering to the public resident in Italy regarding:
more
|
|
Monex BMO Securities
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20161103
03 Nov 2016
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Huaxin Financial Holdings (Hong Kong) Limited
|
Securities and Futures Commission |
Hong Kong
|
20161103
03 Nov 2016
|
|
No additional comments posted.
|
|
Helius Investments Consultants S.A
|
Banco Central del Uruguay |
Uruguay
|
20161101
01 Nov 2016
|
|
Sanctioned with cancellation of activities whithdrawal of the licence to operate the write-off from the records of the Central Bank of Uruguay of Helius Investments Consultants S.A.
|
|
Service Global 52 Ltd operating as www.b4binary.com
|
Ontario Securities Commission |
Ontario
|
20161101
01 Nov 2016
|
|
Service Global 52 Ltd operating as www.b4binary.com, is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities
|
|
SG 55 Ltd doing business as www.b4binary.com
|
Ontario Securities Commission |
Ontario
|
20161101
01 Nov 2016
|
|
SG 55 Ltd doing business as www.b4binary.com, is not registered in Ontario, Canada to engage in the business of (i) trading in securities.
|
|
My Money Solutions
|
Financial Conduct Authority |
United Kingdom
|
20161101
01 Nov 2016
|
|
No additional comments posted.
|
|
Intergrated Hui Tong Trading Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20161101
01 Nov 2016
|
|
No additional comments posted.
|
|
Millionaires Blueprint
|
British Columbia Securities Commission |
British Columbia
|
20161031
31 Oct 2016
|
|
No additional comments posted.
|
|
Cressida Limited
|
Securities and Futures Commission |
Hong Kong
|
20161031
31 Oct 2016
|
|
No additional comments posted.
|
|
Algebra Investments S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20161027
27 Oct 2016
|
|
No additional comments posted.
|
|
Clayton & Fisher Advisors
|
Financial Conduct Authority |
United Kingdom
|
20161027
27 Oct 2016
|
|
No additional comments posted.
|
|
Phmarkets Financial Limited
|
Securities and Futures Commission |
Hong Kong
|
20161027
27 Oct 2016
|
|
No additional comments posted.
|
|
Rosinet S.A.
|
Banco Central del Uruguay |
Uruguay
|
20161026
26 Oct 2016
|
|
Sanction given to Rosinet S.A. and related authorities.
|
|
Rosinet S.A.
|
Banco Central del Uruguay |
Uruguay
|
20161026
26 Oct 2016
|
|
Instructions given to Rosinet S.A. and related authorities
|
|
China International Art Property Exchange
|
Securities and Futures Commission |
Hong Kong
|
20161025
25 Oct 2016
|
|
No additional comments posted.
|
|
Red Shield Financial
|
Securities and Futures Commission |
Hong Kong
|
20161025
25 Oct 2016
|
|
No additional comments posted.
|
|
Bradley & Nowell LLC
|
Financial Conduct Authority |
United Kingdom
|
20161025
25 Oct 2016
|
|
No additional comments posted.
|
|
Swiss Royal Banc
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161025
25 Oct 2016
|
|
No additional comments posted.
|
|
SLS Trade
|
Financial Conduct Authority |
United Kingdom
|
20161024
24 Oct 2016
|
|
No additional comments posted.
|
|
MAXI SERVICES LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20161024
24 Oct 2016
|
|
No additional comments posted.
|
|
FINANCIAL MARKETS LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20161024
24 Oct 2016
|
|
No additional comments posted.
|
|
Pan Asia Pacific Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20161024
24 Oct 2016
|
|
No additional comments posted.
|
|
Farnhams Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20161024
24 Oct 2016
|
|
No additional comments posted.
|
|
Nietlispach Immobilien GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161024
24 Oct 2016
|
|
No additional comments posted.
|
|
PrimeBrokerz, owned by Danesi Global Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20161021
21 Oct 2016
|
|
No additional comments posted.
|
|
Crown Managers
|
British Columbia Securities Commission |
British Columbia
|
20161021
21 Oct 2016
|
|
No additional comments posted.
|
|
Openworld Sociedad de Bolsa S.A.
|
Banco Central del Uruguay |
Uruguay
|
20161021
21 Oct 2016
|
|
Sanction to Openworld Sociedad de Bolsa S.A.
|
|
Treasury Advisory Group
|
Financial Conduct Authority |
United Kingdom
|
20161021
21 Oct 2016
|
|
No additional comments posted.
|
|
Telford and Bernstein
|
Financial Conduct Authority |
United Kingdom
|
20161021
21 Oct 2016
|
|
No additional comments posted.
|
|
Adexec Loans & Financial Solutions (clone)
|
Financial Conduct Authority |
United Kingdom
|
20161021
21 Oct 2016
|
|
Firm using details of FCA authorised firm.
|
|
Arboretix Trading Limited and Vortex Assets Corporation
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161021
21 Oct 2016
|
|
Companies Arboretix Trading Limited and Vortex Assets Corporation are not authorised to provide investment services or carry out activities in Italy in any way and, therefore not even through the website www.vortexassets.com.
|
|
Starinv Doo
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161021
21 Oct 2016
|
|
CONSOB has suspended, under the terms of Art. 99, paragraph 1, lett. b), of Italian Legislative Decree no. 58/1998, the public offering made by Starinv Doo also through the web channel regarding the investment programme entitled “Business for all”
|
|
Millionet Investment Management Limited
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20161020
20 Oct 2016
|
|
No additional comments posted.
|
|
Credit Trust Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161020
20 Oct 2016
|
|
No additional comments posted.
|
|
Titanium Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20161020
20 Oct 2016
|
|
No additional comments posted.
|
|
Corpserv
|
Financial Conduct Authority |
United Kingdom
|
20161020
20 Oct 2016
|
|
Clone of EEA authorised firm
|
|
Pacific Alliances
|
Securities and Futures Commission |
Hong Kong
|
20161020
20 Oct 2016
|
|
No additional comments posted.
|
|
Dukes Copy Limited
|
Securities and Futures Commission |
Hong Kong
|
20161020
20 Oct 2016
|
|
No additional comments posted.
|
|
Option500
|
Securities and Futures Commission |
Hong Kong
|
20161020
20 Oct 2016
|
|
No additional comments posted.
|
|
PREMIERS AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161019
19 Oct 2016
|
|
No additional comments posted.
|
|
Zidex Financials
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20161019
19 Oct 2016
|
|
No additional comments posted.
|
|
Click Search Media Limited trading as http://debtfriendly.co.uk/
|
Financial Conduct Authority |
United Kingdom
|
20161018
18 Oct 2016
|
|
No additional comments posted.
|
|
Shaks Specialist Cars (clone)
|
Financial Conduct Authority |
United Kingdom
|
20161018
18 Oct 2016
|
|
No additional comments posted.
|
|
Prudential Consultants
|
Financial Conduct Authority |
United Kingdom
|
20161018
18 Oct 2016
|
|
No additional comments posted.
|
|
INN Finanz Consulting GmbH (vormals: Zentera Consulting GmbH)
|
Financial Market Authority |
Austria
|
20161018
18 Oct 2016
|
|
No additional comments posted.
|
|
Eaglebright Holding AG
|
Financial Market Authority |
Austria
|
20161018
18 Oct 2016
|
|
No additional comments posted.
|
|
SuisseRock Asset Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161018
18 Oct 2016
|
|
No additional comments posted.
|
|
Knight Capital Markets (clone)
|
Financial Conduct Authority |
United Kingdom
|
20161017
17 Oct 2016
|
|
No additional comments posted.
|
|
Unauthorised websites offering Forex investments
|
Autorité des marchés financiers |
France
|
20161017
17 Oct 2016
|
|
The AMF and the ACPR are publishing un update to the list of new websites and entities offering investments on the unregulated foreign exchange (Forex) market in France, without authorisation to do so.
|
|
Brits Finance (clone)
|
Financial Conduct Authority |
United Kingdom
|
20161014
14 Oct 2016
|
|
Clone of an authorised firm
|
|
Carlease Ltd (clone)
|
Financial Conduct Authority |
United Kingdom
|
20161013
13 Oct 2016
|
|
Clone of an authorised firm
|
|
Loanfactory (clone )
|
Financial Conduct Authority |
United Kingdom
|
20161013
13 Oct 2016
|
|
Clone of an authorised firm
|
|
Flexy Finance
|
Financial Conduct Authority |
United Kingdom
|
20161012
12 Oct 2016
|
|
Clone of FCA authorised firm
|
|
Apex One Trading Group doing business as www.apexonetg.com
|
Ontario Securities Commission |
Ontario
|
20161011
11 Oct 2016
|
|
Apex One Trading Group doing business as www.apexonetg.com is not registered in Ontario, Canada to engage in the business of trading in securities.
|
|
CFD Capital Markets, SARL doing business as http://cfdcapmkt.com
|
Ontario Securities Commission |
Ontario
|
20161011
11 Oct 2016
|
|
CFD Capital Markets, SARL doing business as http://cfdcapmkt.com is not registered in Ontario, Canada to engage in the business of trading in securities.
|
|
Central Option
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161011
11 Oct 2016
|
|
No additional comments posted.
|
|
South Finance (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20161011
11 Oct 2016
|
|
No additional comments posted.
|
|
Knight Cover (Clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20161011
11 Oct 2016
|
|
No additional comments posted.
|
|
Apex UK Loan
|
Financial Conduct Authority |
United Kingdom
|
20161011
11 Oct 2016
|
|
No additional comments posted.
|
|
CFI Holding Group
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161011
11 Oct 2016
|
|
company CFI Holding Group is not authorised to provide investment services and business in Italy in any way, including through the website www.systys.net
|
|
FXGlory Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20161011
11 Oct 2016
|
|
company FXGlory Ltd is not authorised to provide investment services and business in Italy in any way, including through the website www.fxglory.com
|
|
Utility Bill Solutions
|
Financial Conduct Authority |
United Kingdom
|
20161011
11 Oct 2016
|
|
No additional comments posted.
|
|
GF Capital Management (clone)
|
Financial Conduct Authority |
United Kingdom
|
20161010
10 Oct 2016
|
|
Clone of an FCA authorised firm
|
|
AIB Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20161010
10 Oct 2016
|
|
No additional comments posted.
|
|
Parmaserv Ltd
|
Financial Conduct Authority |
United Kingdom
|
20161010
10 Oct 2016
|
|
No additional comments posted.
|
|
Nemesis Capital BG Limited, doing business as www.alfatrade.com
|
Ontario Securities Commission |
Ontario
|
20161007
07 Oct 2016
|
|
Nemesis Capital BG Limited, doing business as www.alfatrade.com is not registered in Ontario, Canada to engage in the business of trading in securities.
|
|
Nemesis Capital Limited
|
Ontario Securities Commission |
Ontario
|
20161007
07 Oct 2016
|
|
Nemesis Capital Limited operating as AlfaTrade and doing business as www.alfatrade.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities and (ii) advising anyone with respect to investing in buying or selling
more
|
|
Morgan Stanley (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20161007
07 Oct 2016
|
|
Clone of an FCA authorised firm
|
|
DMS Investment Management Services
|
Financial Conduct Authority |
United Kingdom
|
20161006
06 Oct 2016
|
|
Clone of EEA authorised firm
|
|
Alfred Lettner (clone)
|
Financial Conduct Authority |
United Kingdom
|
20161006
06 Oct 2016
|
|
Clone of EEA authorised firm that features on the FCA Register believed to be targeting customers in the UK and other European countries.
|
|
CW Associates
|
Securities and Futures Commission |
Hong Kong
|
20161006
06 Oct 2016
|
|
No additional comments posted.
|
|
Baltimore Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20161004
04 Oct 2016
|
|
No additional comments posted.
|
|
Questra Holdings Inc.
|
Financial Market Authority |
Austria
|
20161003
03 Oct 2016
|
|
No additional comments posted.
|
|
IFX Investment House Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20160930
30 Sep 2016
|
|
Advisory Warning - purporting to be incorporated, licensed and regulated in the British Virgin Islands
|
|
Corporate Loan Capital S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20160930
30 Sep 2016
|
|
No additional comments posted.
|
|
Euro Solution GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160930
30 Sep 2016
|
|
No additional comments posted.
|
|
Top Binary Signals
|
Securities and Futures Commission |
Hong Kong
|
20160930
30 Sep 2016
|
|
No additional comments posted.
|
|
Eclipse Finance
|
Securities and Futures Commission |
Hong Kong
|
20160930
30 Sep 2016
|
|
No additional comments posted.
|
|
Park Shore Investments Limited
|
Securities and Futures Commission |
Hong Kong
|
20160929
29 Sep 2016
|
|
No additional comments posted.
|
|
Greymountain Management Ltd.
|
Ontario Securities Commission |
Ontario
|
20160928
28 Sep 2016
|
|
Greymountain Management LTD operating as www.greymountainmanagement.com is not registered in Ontario, Canada to engage in the business of trading in securities.
|
|
The Asian Pacific Commodity Exchange
|
Securities and Futures Commission |
Hong Kong
|
20160928
28 Sep 2016
|
|
No additional comments posted.
|
|
Russellville Limited
|
Securities and Futures Commission |
Hong Kong
|
20160928
28 Sep 2016
|
|
No additional comments posted.
|
|
Concord Financial Partners
|
Securities and Futures Commission |
Hong Kong
|
20160928
28 Sep 2016
|
|
No additional comments posted.
|
|
Lead Capital Partners
|
Securities and Futures Commission |
Hong Kong
|
20160928
28 Sep 2016
|
|
No additional comments posted.
|
|
Trade24 Global Ltd operating as Trade24
|
Ontario Securities Commission |
Ontario
|
20160927
27 Sep 2016
|
|
Trade24 Global Ltd operating as Trade24 and doing business as www.trade-24.com is not registered in Ontario, Canada to engage in the business of trading in securities.
|
|
Investment offers of the Pyramidal type and Ponzi
|
Financial Services and Markets Authority |
Belgium
|
20160927
27 Sep 2016
|
|
warning
|
|
Questra Holdings
|
Financial Services and Markets Authority |
Belgium
|
20160927
27 Sep 2016
|
|
warning
|
|
Edgedale Finance
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160927
27 Sep 2016
|
|
Company Edgedale Finance is not authorised to provide investment services and business in Italy in any way, including through the website www.edgedalefinance.com.
|
|
Dodson Norwood
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160927
27 Sep 2016
|
|
Company Dodson Norwood is not authorised to provide investment services and business in Italy in any way, including through the website www.dodson-norwood.com.
|
|
Spring Empire Solutions Ltd; Spring Strategies Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160927
27 Sep 2016
|
|
Companies Spring Empire Solutions Ltd, with head office in London and Spring Strategies Ltd, with head office in Dominica, are not authorised to provide investment services or carry out activities in Italy in any way, including through the website ww
more
|
|
Innovative Investment Holding Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160927
27 Sep 2016
|
|
The Commissione Nazionale per le Società e la Borsa (CONSOB) has:
more
|
|
Jacob L. Callan
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20160926
26 Sep 2016
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Ashwood Finance
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20160926
26 Sep 2016
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Kenje Group
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20160926
26 Sep 2016
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
North Dakota Developments LLC
|
Securities and Futures Commission |
Hong Kong
|
20160926
26 Sep 2016
|
|
No additional comments posted.
|
|
Gravitas Enterprises Limited
|
Securities and Futures Commission |
Hong Kong
|
20160926
26 Sep 2016
|
|
No additional comments posted.
|
|
All UK Lenders (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20160922
22 Sep 2016
|
|
No additional comments posted.
|
|
Loan.co.uk (clone of an authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20160922
22 Sep 2016
|
|
No additional comments posted.
|
|
UKM Ltd
|
Financial Services Commission |
Mauritius
|
20160922
22 Sep 2016
|
|
No additional comments posted.
|
|
LP Suisse Capital Management AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160921
21 Sep 2016
|
|
No additional comments posted.
|
|
LP Suisse Group AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160921
21 Sep 2016
|
|
No additional comments posted.
|
|
Global Reach Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160920
20 Sep 2016
|
|
the company Global Reach Ltd is not authorised to provide investment services and business in Italy in any way, including through the website www.profit4trade.com
|
|
Gettoption
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160920
20 Sep 2016
|
|
the company Gettoption is not authorised to provide investment services and business in Italy in any way, including through the website www.gettoption.com
|
|
Tix Group Ltd and Jedi Marketing Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160920
20 Sep 2016
|
|
companies Tix Group Ltd and Jedi Marketing Ltd are not authorised to provide investment services and business in Italy in any way, including through the website www.tixfx.com
|
|
Recyclix Sp. z.o.o.
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160920
20 Sep 2016
|
|
CONSOB has suspended for 90 days, pursuant to art. 99, paragraph 1, letter b), of Italian Legislative Decree no. 58/1998, the offer made to public, i.e. to residents in Italy by the company Recyclix Sp. z.o.o. for the purpose of investments of a fina
more
|
|
Huang International / Huang Investments Limited
|
Securities and Futures Commission |
Hong Kong
|
20160920
20 Sep 2016
|
|
No additional comments posted.
|
|
Binary Uno
|
British Columbia Securities Commission |
British Columbia
|
20160920
20 Sep 2016
|
|
No additional comments posted.
|
|
Integrity Research Group
|
Finansinspektionen |
Sweden
|
20160919
19 Sep 2016
|
|
No additional comments posted.
|
|
Asashi Mergers & Acquisition Group
|
Finansinspektionen |
Sweden
|
20160919
19 Sep 2016
|
|
No additional comments posted.
|
|
Oshiro Associates
|
Finansinspektionen |
Sweden
|
20160919
19 Sep 2016
|
|
No additional comments posted.
|
|
Arai, Endo and Associates
|
Finansinspektionen |
Sweden
|
20160919
19 Sep 2016
|
|
No additional comments posted.
|
|
Ashwood Finance
|
Finansinspektionen |
Sweden
|
20160919
19 Sep 2016
|
|
No additional comments posted.
|
|
Naruse, Terada & Associates
|
Jersey Financial Services Commission |
Jersey
|
20160919
19 Sep 2016
|
|
No additional comments posted.
|
|
Edgedale Finance
|
British Columbia Securities Commission |
British Columbia
|
20160917
17 Sep 2016
|
|
No additional comments posted.
|
|
Industrial & Commercial Bank of China (Europe) SA
|
Financial Conduct Authority |
United Kingdom
|
20160916
16 Sep 2016
|
|
Clone of EEA authorised firm
|
|
3G Equity Partners
|
Central Bank of Ireland |
Ireland
|
20160915
15 Sep 2016
|
|
3G Equity Partners is not authorized to provide investment services to persons in Ireland. The firm purports to be based in Brazil.
|
|
Unauthorised websites offering trading in binary options
|
Autorité des marchés financiers |
France
|
20160914
14 Sep 2016
|
|
The French AMF has published a warning containing newly identified, unauthorised websites offering trading in binary options.
more
|
|
Arboretix Trading Limited and Touch Trades Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160913
13 Sep 2016
|
|
Arboretix Trading Limited and Touch Trades Limited are not authorised to provide investment services or carry out activities in Italy in any way and, therefore not even through the website www.touchtrades.com.
|
|
Credit Poor
|
Financial Conduct Authority |
United Kingdom
|
20160912
12 Sep 2016
|
|
No additional comments posted.
|
|
Loan In A Flash
|
Financial Conduct Authority |
United Kingdom
|
20160912
12 Sep 2016
|
|
No additional comments posted.
|
|
CAP Group Ltd.
|
Financial Market Authority |
Austria
|
20160912
12 Sep 2016
|
|
No additional comments posted.
|
|
Meridian Equity Group
|
Securities and Futures Commission |
Hong Kong
|
20160912
12 Sep 2016
|
|
No additional comments posted.
|
|
TradingBanks
|
Securities and Futures Commission |
Hong Kong
|
20160912
12 Sep 2016
|
|
No additional comments posted.
|
|
CHIBA & ASSOCIATES
|
Financial Conduct Authority |
United Kingdom
|
20160909
09 Sep 2016
|
|
No additional comments posted.
|
|
Charming Money Limited t/a Debt Vanish and Debt Rid
|
Financial Conduct Authority |
United Kingdom
|
20160909
09 Sep 2016
|
|
No additional comments posted.
|
|
Tillman Hall Capital
|
Securities and Futures Commission |
Hong Kong
|
20160909
09 Sep 2016
|
|
No additional comments posted.
|
|
North Asia Digital Financial Investment Management Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160909
09 Sep 2016
|
|
No additional comments posted.
|
|
Hargreaves Lansdown (clone)
|
Financial Conduct Authority |
United Kingdom
|
20160908
08 Sep 2016
|
|
No additional comments posted.
|
|
Thomas and Johnson
|
Financial Conduct Authority |
United Kingdom
|
20160908
08 Sep 2016
|
|
No additional comments posted.
|
|
Strauss Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20160908
08 Sep 2016
|
|
No additional comments posted.
|
|
PCG Resources
|
Securities and Futures Commission |
Hong Kong
|
20160907
07 Sep 2016
|
|
No additional comments posted.
|
|
Fxmarketlive Pty Ltd
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20160906
06 Sep 2016
|
|
No additional comments posted.
|
|
Shibata & Partners (Japan)
|
Central Bank of Ireland |
Ireland
|
20160906
06 Sep 2016
|
|
Shibata & Partners (Japan) is not authorised to provide investment services to persons in Ireland. The firm purports to be based in Tokyo, Japan.
|
|
GRUPO GARINTIA 2015
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160906
06 Sep 2016
|
|
No additional comments posted.
|
|
Philippe Torres
|
Securities and Futures Commission |
Hong Kong
|
20160906
06 Sep 2016
|
|
No additional comments posted.
|
|
I.S. Signal Trader Limited
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160905
05 Sep 2016
|
|
The company: I.S. Signal Trader Limited, with declared headquarters in Cyprus, is not authorised to provide investment or other services in Italy in any way, including through the website www.signaltrader.com.
|
|
Strauss Asset Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160902
02 Sep 2016
|
|
No additional comments posted.
|
|
Royal Private Bank of Luxembourg
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20160901
01 Sep 2016
|
|
No additional comments posted.
|
|
www.wmgltd.com
|
Securities and Futures Commission |
Hong Kong
|
20160901
01 Sep 2016
|
|
No additional comments posted.
|
|
China Merchants International Corporation
|
Securities and Futures Commission |
Hong Kong
|
20160831
31 Aug 2016
|
|
No additional comments posted.
|
|
Gateway Finance Limited
|
Jersey Financial Services Commission |
Jersey
|
20160830
30 Aug 2016
|
|
No additional comments posted.
|
|
Indogulf Financial Services BSC
|
Financial Market Authority |
Austria
|
20160830
30 Aug 2016
|
|
No additional comments posted.
|
|
Crown FX
|
Financial Market Authority |
Austria
|
20160830
30 Aug 2016
|
|
No additional comments posted.
|
|
Costello & Rubin Attorneys at Law
|
Central Bank of Ireland |
Ireland
|
20160830
30 Aug 2016
|
|
Costello & Rubin Attorneys at Law (USA) is not authorised to provide investment services to persons in Ireland. The firm purports to be based in Boston, USA.
|
|
TCA Financial
|
Securities and Futures Commission |
Hong Kong
|
20160830
30 Aug 2016
|
|
No additional comments posted.
|
|
Shandong East Asia Mining Group Co., Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160830
30 Aug 2016
|
|
No additional comments posted.
|
|
IEA Holdings Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160830
30 Aug 2016
|
|
No additional comments posted.
|
|
MTL INDEX (SUISSE) SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160829
29 Aug 2016
|
|
No additional comments posted.
|
|
Up & Down Marketing Limited
|
Securities and Futures Commission |
Hong Kong
|
20160829
29 Aug 2016
|
|
No additional comments posted.
|
|
IBL Markets (clone)
|
Financial Conduct Authority |
United Kingdom
|
20160826
26 Aug 2016
|
|
No additional comments posted.
|
|
UOBBF
|
Securities and Futures Commission |
Hong Kong
|
20160826
26 Aug 2016
|
|
No additional comments posted.
|
|
Lambert & Sons Incorporated
|
Securities and Futures Commission |
Hong Kong
|
20160826
26 Aug 2016
|
|
No additional comments posted.
|
|
Clayton & Oakley Investments
|
Central Bank of Ireland |
Ireland
|
20160825
25 Aug 2016
|
|
Clayton & Oakley Investments is not authorised to provide investment services to persons in Ireland. The firm purports to be based in Dublin, Ireland.
|
|
Ryan & Roger Holdings
|
Securities and Futures Commission |
Hong Kong
|
20160825
25 Aug 2016
|
|
No additional comments posted.
|
|
Complastem Trading Limited
|
Securities and Futures Commission |
Hong Kong
|
20160825
25 Aug 2016
|
|
No additional comments posted.
|
|
ITSSO Co., Limited
|
Securities and Futures Commission |
Hong Kong
|
20160825
25 Aug 2016
|
|
No additional comments posted.
|
|
Ace Standard Holdings Limited
|
Securities and Futures Commission |
Hong Kong
|
20160825
25 Aug 2016
|
|
No additional comments posted.
|
|
Matthew and Alexis Limited
|
Securities and Futures Commission |
Hong Kong
|
20160824
24 Aug 2016
|
|
No additional comments posted.
|
|
Gold Bull Capital Limited
|
Securities and Futures Commission |
Hong Kong
|
20160824
24 Aug 2016
|
|
No additional comments posted.
|
|
Grove Capital Advisors Ltd
|
Financial Conduct Authority |
United Kingdom
|
20160823
23 Aug 2016
|
|
No additional comments posted.
|
|
OTEX World Corporation
|
Securities and Futures Commission |
Hong Kong
|
20160823
23 Aug 2016
|
|
No additional comments posted.
|
|
JB Trade Finance (clone)
|
Financial Conduct Authority |
United Kingdom
|
20160822
22 Aug 2016
|
|
No additional comments posted.
|
|
Broker Financial Ltd/Invest-Option/Central Provider Ltd/Central Option/GN Capital International Ltd/PWRTrade/Graham International Ltd/Binat Ltd/Proinvest/Sterling Consultancy Options Ltd (cloned firm)/SC-Options
|
Financial Services and Markets Authority |
Belgium
|
20160822
22 Aug 2016
|
|
warning Binary Options and Forex Products
|
|
International Swiss Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160818
18 Aug 2016
|
|
No additional comments posted.
|
|
leFinancier
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160815
15 Aug 2016
|
|
No additional comments posted.
|
|
Lorenzo Cesarei
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160812
12 Aug 2016
|
|
No additional comments posted.
|
|
BPJ Services
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160812
12 Aug 2016
|
|
No additional comments posted.
|
|
Innovative Investment Holding Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160812
12 Aug 2016
|
|
No additional comments posted.
|
|
Algo Banque Limited
|
Financial Services Commission |
Mauritius
|
20160812
12 Aug 2016
|
|
No additional comments posted.
|
|
Ashwood Finance
|
Securities and Futures Commission |
Hong Kong
|
20160812
12 Aug 2016
|
|
No additional comments posted.
|
|
Unsecured Loan For UK
|
Financial Conduct Authority |
United Kingdom
|
20160811
11 Aug 2016
|
|
No additional comments posted.
|
|
Piper Jaffray
|
Financial Conduct Authority |
United Kingdom
|
20160811
11 Aug 2016
|
|
Clone of FCA authorised firm
|
|
Rosan World Investment
|
Securities and Futures Commission |
Hong Kong
|
20160811
11 Aug 2016
|
|
No additional comments posted.
|
|
Nippon Capital Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20160810
10 Aug 2016
|
|
No additional comments posted.
|
|
Wheaton Capital Limited
|
Financial Conduct Authority |
United Kingdom
|
20160810
10 Aug 2016
|
|
Clone of FCA authorised firm
|
|
Ventures GP
|
Securities and Futures Commission |
Hong Kong
|
20160810
10 Aug 2016
|
|
No additional comments posted.
|
|
HK Equity Fund Limited
|
Securities and Futures Commission |
Hong Kong
|
20160810
10 Aug 2016
|
|
No additional comments posted.
|
|
Dodson Norwood
|
Securities and Futures Commission |
Hong Kong
|
20160810
10 Aug 2016
|
|
No additional comments posted.
|
|
Kelly & Gomez Holdings
|
Securities and Futures Commission |
Hong Kong
|
20160810
10 Aug 2016
|
|
No additional comments posted.
|
|
Fox Capital Partners
|
Securities and Futures Commission |
Hong Kong
|
20160810
10 Aug 2016
|
|
No additional comments posted.
|
|
Natix Bank (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20160809
09 Aug 2016
|
|
Clone of FCA authorised firm
|
|
Classic Car Association of Europe
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160809
09 Aug 2016
|
|
No additional comments posted.
|
|
Wheaton Capital
|
Securities and Futures Commission |
Hong Kong
|
20160809
09 Aug 2016
|
|
No additional comments posted.
|
|
10 Markets
|
Financial Market Authority |
Austria
|
20160808
08 Aug 2016
|
|
No additional comments posted.
|
|
CF Investment Funds (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20160808
08 Aug 2016
|
|
Clone of FCA authorised Firms
|
|
Den Danske Metode
|
Danish Financial Supervisory Authority |
Denmark
|
20160805
05 Aug 2016
|
|
The Danish Financial Supervisory has been informed that the firm Den Danske Metode unsolicited has offered to carry out financial Services. The company's address is unknown.
|
|
Philippe Torres
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20160805
05 Aug 2016
|
|
No additional comments posted.
|
|
Jordan & Woods Limited
|
Securities and Futures Commission |
Hong Kong
|
20160805
05 Aug 2016
|
|
No additional comments posted.
|
|
Inter Global Limited
|
Financial Conduct Authority |
United Kingdom
|
20160804
04 Aug 2016
|
|
No additional comments posted.
|
|
Natix Bank
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20160803
03 Aug 2016
|
|
No additional comments posted.
|
|
Pan Asia Pacific Mergers & Acquisitions
|
Central Bank of Ireland |
Ireland
|
20160803
03 Aug 2016
|
|
Pan Asia Pacific Mergers & Acquisitions is not authorised to provide investment services to persons in Ireland. The firm purports to be based in Tokyo, Japan.
|
|
GPM Asadia
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160803
03 Aug 2016
|
|
No additional comments posted.
|
|
Capstone Global Securities
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160803
03 Aug 2016
|
|
No additional comments posted.
|
|
Westley Asia Limited
|
Securities and Futures Commission |
Hong Kong
|
20160803
03 Aug 2016
|
|
No additional comments posted.
|
|
Rhino Asia
|
Securities and Futures Commission |
Hong Kong
|
20160803
03 Aug 2016
|
|
No additional comments posted.
|
|
PL Groups Limited
|
Securities and Futures Commission |
Hong Kong
|
20160803
03 Aug 2016
|
|
No additional comments posted.
|
|
Baumer Mansoor Financial Advisory
|
Financial Conduct Authority |
United Kingdom
|
20160802
02 Aug 2016
|
|
Clone of EEA authorised firm
|
|
H-T-I Corporation/Hongkong Trading International Corp Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160802
02 Aug 2016
|
|
No additional comments posted.
|
|
Harver Group
|
Securities and Futures Commission |
Hong Kong
|
20160802
02 Aug 2016
|
|
No additional comments posted.
|
|
Marvont Group
|
Securities and Futures Commission |
Hong Kong
|
20160802
02 Aug 2016
|
|
No additional comments posted.
|
|
White Rock Assets Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160801
01 Aug 2016
|
|
No additional comments posted.
|
|
Innovative Investment Holding Ltd and Soci di Innovative Investment Holding
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160801
01 Aug 2016
|
|
No additional comments posted.
|
|
Cheshire Capital Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20160801
01 Aug 2016
|
|
No additional comments posted.
|
|
Kaufman Franz Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20160729
29 Jul 2016
|
|
Clone of EEA authorised firm
|
|
Costello & Rubin LLP
|
Financial Conduct Authority |
United Kingdom
|
20160729
29 Jul 2016
|
|
No additional comments posted.
|
|
UBS Global Investment Management Ltd (Clone of FCA & EEA authorised firms)
|
Financial Conduct Authority |
United Kingdom
|
20160728
28 Jul 2016
|
|
Clone of FCA & EEA authorised firms
|
|
Athos International Management - Eagle Crest Insurance - Eagle Crest Underwriter
|
Financial Services and Markets Authority |
Belgium
|
20160728
28 Jul 2016
|
|
warning
|
|
Passion Finance
|
Financial Conduct Authority |
United Kingdom
|
20160728
28 Jul 2016
|
|
No additional comments posted.
|
|
HCF Financial Service Limited
|
Securities and Futures Commission |
Hong Kong
|
20160728
28 Jul 2016
|
|
No additional comments posted.
|
|
Tech Plex Ltd. operating as MaxOptions
|
Ontario Securities Commission |
Ontario
|
20160727
27 Jul 2016
|
|
Tech Plex Ltd. operating as MaxOptions and doing business as www.maxoptions.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securi
more
|
|
Bit Management Ltd
|
Financial Conduct Authority |
United Kingdom
|
20160727
27 Jul 2016
|
|
No additional comments posted.
|
|
Unemployed Loans
|
Financial Conduct Authority |
United Kingdom
|
20160727
27 Jul 2016
|
|
No additional comments posted.
|
|
uBinary
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160727
27 Jul 2016
|
|
No additional comments posted.
|
|
Resona International Management
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Christian Muhr Investment Research
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Department of Securities Liquidations
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Benson Walter Private Equity
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Trident Fund Inc
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Branford Capital Management
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Sure Mergers and Acquisitions
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
First Global Commodities and Futures Exchange
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Option Financial Markets (OptionFM)
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Fraser-Mackie Wealth Management Ltd
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Maxim Capital Ltd / Maxim Trader / Maxim Traders
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Lifex Pharmaceuticals Inc
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Universal Equities Consolidated LLC
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
GSI Markets
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Callaway International
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Belmont Capital Holdings New York / Belmont Capital NY
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
DW Consultants Limited
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Parnassus Group LLC
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Larosa Holdings Limited
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
AEG Investment Limited
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Admiral Global Private Equity
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Regional Regulatory Board
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Beacon Commodities and Futures Exchange (BCFX)
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Celivox Alliance
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Osborn & McKenzie International (O&MI)
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Graphene Sensors Inc
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Fund Access Limited
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Steinberg Private Equity
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Spot Capital Markets Ltd t/a Milano Trade
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
LFG Investments Ltd t/a Option Rally
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Alliance Financial Advisory
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Ubinary
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Tilney Asset Management
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
International Center for Fraud Examiner
|
Australian Securities and Investments Commission |
Australia
|
20160726
26 Jul 2016
|
|
No additional comments posted.
|
|
Homeowner Loans / Advantage Leads
|
Financial Conduct Authority |
United Kingdom
|
20160725
25 Jul 2016
|
|
No additional comments posted.
|
|
Pullman Wealth Management Consulting Limited
|
Securities and Futures Commission |
Hong Kong
|
20160725
25 Jul 2016
|
|
No additional comments posted.
|
|
CUNNINGHAM MUTUAL
|
Financial Market Authority |
Austria
|
20160722
22 Jul 2016
|
|
No additional comments posted.
|
|
LONDON INTERNATIONAL BANK & TRUST Co. Ltd
|
Financial Market Authority |
Austria
|
20160722
22 Jul 2016
|
|
No additional comments posted.
|
|
Asia Alliance Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160722
22 Jul 2016
|
|
No additional comments posted.
|
|
XForex, owned and operated by XFR Financial Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20160721
21 Jul 2016
|
|
No additional comments posted.
|
|
YOUR TRADE CHOICE
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160720
20 Jul 2016
|
|
No additional comments posted.
|
|
Farnhams Consulting Group (USA)
|
Central Bank of Ireland |
Ireland
|
20160720
20 Jul 2016
|
|
Farnhams Consulting Group (USA) is not authorised to provide investment services to persons in Ireland. The firm purports to be based in New York, USA.
|
|
Capita Group (USA)
|
Central Bank of Ireland |
Ireland
|
20160720
20 Jul 2016
|
|
Capita Group (USA) is not authorised to provide investment services to persons in Ireland. The firm purports to be based in New York, USA. It should be noted that there is no connection whatsoever between the unauthorised entity listed and the Centra
more
|
|
Ellis & Reid Investments
|
Central Bank of Ireland |
Ireland
|
20160720
20 Jul 2016
|
|
Ellis & Reid Investments is not authorised to provide investment services by the Central Bank of Ireland. The firm purports to be based in Dublin, Ireland.
|
|
Titanium Wealth Management Inc.
|
Securities and Futures Commission |
Hong Kong
|
20160720
20 Jul 2016
|
|
No additional comments posted.
|
|
Shi Fu Investment (Hongkong) Co Ltd / Shi Fu Jin Rong Capital Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160720
20 Jul 2016
|
|
No additional comments posted.
|
|
IBC Capital Limited
|
Securities and Futures Commission |
Hong Kong
|
20160719
19 Jul 2016
|
|
No additional comments posted.
|
|
Standard Management Investment Limited
|
Securities and Futures Commission |
Hong Kong
|
20160719
19 Jul 2016
|
|
No additional comments posted.
|
|
Southwell & Stone Capital Partners
|
Securities and Futures Commission |
Hong Kong
|
20160719
19 Jul 2016
|
|
No additional comments posted.
|
|
Kirkwood Global
|
Securities and Futures Commission |
Hong Kong
|
20160719
19 Jul 2016
|
|
No additional comments posted.
|
|
DGI Market, owned and operated by D.G.I. Market Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20160719
19 Jul 2016
|
|
No additional comments posted.
|
|
Portsea Asset Management LLP (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20160718
18 Jul 2016
|
|
Clone of FCA authorised firm
|
|
BigOption, operated by Wirestech Limited
|
British Columbia Securities Commission |
British Columbia
|
20160716
16 Jul 2016
|
|
No additional comments posted.
|
|
FXGlory Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20160715
15 Jul 2016
|
|
Advisory Warning - purporting to be incorporated and regulated in the Virgin Islands
|
|
Offshore East Private Wealth Managers
|
Securities and Futures Commission |
Hong Kong
|
20160715
15 Jul 2016
|
|
No additional comments posted.
|
|
Lambert and Sons Incorporated
|
Securities and Futures Commission |
Hong Kong
|
20160715
15 Jul 2016
|
|
No additional comments posted.
|
|
Cunningham Mutual
|
Securities and Futures Commission |
Hong Kong
|
20160715
15 Jul 2016
|
|
No additional comments posted.
|
|
Global Fiduciary Solutions Limited
|
Securities and Futures Commission |
Hong Kong
|
20160715
15 Jul 2016
|
|
No additional comments posted.
|
|
Asia Pacific Brokerage
|
Securities and Futures Commission |
Hong Kong
|
20160715
15 Jul 2016
|
|
No additional comments posted.
|
|
Go Markets (clone)
|
Financial Conduct Authority |
United Kingdom
|
20160714
14 Jul 2016
|
|
No additional comments posted.
|
|
Thornton & Tresk
|
Financial Conduct Authority |
United Kingdom
|
20160711
11 Jul 2016
|
|
No additional comments posted.
|
|
Ritzcoin Technologies Inc.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20160711
11 Jul 2016
|
|
No additional comments posted.
|
|
Royalton Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20160708
08 Jul 2016
|
|
No additional comments posted.
|
|
www.dlmlimitedhk.com
|
Securities and Futures Commission |
Hong Kong
|
20160708
08 Jul 2016
|
|
No additional comments posted.
|
|
StrongOaks Risk Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20160708
08 Jul 2016
|
|
No additional comments posted.
|
|
Larse Capital Ltd
|
Finansinspektionen |
Sweden
|
20160708
08 Jul 2016
|
|
No additional comments posted.
|
|
Fuji Credit Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20160708
08 Jul 2016
|
|
No additional comments posted.
|
|
WESTGATE CONSULTING GROUP
|
Financial Conduct Authority |
United Kingdom
|
20160706
06 Jul 2016
|
|
No additional comments posted.
|
|
IT-GROUP Sucursal en España
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160706
06 Jul 2016
|
|
No additional comments posted.
|
|
SIDDIQUE TRADING SARL en liquidation
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160706
06 Jul 2016
|
|
No additional comments posted.
|
|
DP Consulting Group
|
Securities and Futures Commission |
Hong Kong
|
20160706
06 Jul 2016
|
|
No additional comments posted.
|
|
Arthur-Sera Limited
|
Securities and Futures Commission |
Hong Kong
|
20160706
06 Jul 2016
|
|
No additional comments posted.
|
|
Capital Markets trading as MarketCT (clone of a FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20160705
05 Jul 2016
|
|
No additional comments posted.
|
|
DaTong Global
|
Securities and Futures Commission |
Hong Kong
|
20160705
05 Jul 2016
|
|
No additional comments posted.
|
|
Daikyo Brokerage Limited
|
Securities and Futures Commission |
Hong Kong
|
20160704
04 Jul 2016
|
|
No additional comments posted.
|
|
iClick Loans
|
Financial Conduct Authority |
United Kingdom
|
20160701
01 Jul 2016
|
|
No additional comments posted.
|
|
JLM International Trading Company Limited
|
Financial Supervisory Commission |
Chinese Taipei
|
20160701
01 Jul 2016
|
|
JLM International Trading Company Limited claims to be a portfolio management firm with offices at 6F., No. 189, Sec. 4, Tinngjhou Rd., Taipei, Taiwan. Our records show that JLM International Trading Company Limited does neither have a license in Tai
more
|
|
Deepblue Global Limited
|
Financial Supervisory Commission |
Chinese Taipei
|
20160701
01 Jul 2016
|
|
Deepblue Global Limited claims to be a portfolio management firm with offices at 3F, No. 195, Dadun 18th St., Xitun District, Taichung, Taiwan. Our records show that Deepblue Global Limited does neither have a license in Taiwan to conduct securities
more
|
|
A and P Holdings Limited
|
Financial Supervisory Commission |
Chinese Taipei
|
20160701
01 Jul 2016
|
|
A and P Holdings Limited claims to be a portfolio management firm with offices at 9F., No. 36, Sec. 3, Nanjing E. Rd., Taipei, Taiwan. Our records show that A and P Holdings Limited does neither have a license in Taiwan to conduct securities business
more
|
|
SAL Ltd. operating as WinOptions
|
Ontario Securities Commission |
Ontario
|
20160630
30 Jun 2016
|
|
SAL Ltd. operating as WinOptions is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
SAL Capital Ltd., doing business as www.winoptions.com
|
Ontario Securities Commission |
Ontario
|
20160630
30 Jun 2016
|
|
SAL Capital Ltd., doing business as www.winoptions.com is not registered in Ontario, Canada to engage in the business of trading in securities.
|
|
Mountain Rider Ltd. operating as Option Ridge
|
Ontario Securities Commission |
Ontario
|
20160630
30 Jun 2016
|
|
Mountain Rider Ltd. operating as OptionRidge doing business as www.optionridge.com, is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling se
more
|
|
Rusty Flower Ltd. doing business as www.optionridge.com
|
Ontario Securities Commission |
Ontario
|
20160630
30 Jun 2016
|
|
Rusty Flower Ltd. doing business as www.optionridge.com, is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Wirestech Limited doing business as www.bigoption.com
|
Ontario Securities Commission |
Ontario
|
20160630
30 Jun 2016
|
|
Wirestech Limited doing business as www.bigoption.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Hillgrand Limited
|
Securities and Futures Commission |
Hong Kong
|
20160630
30 Jun 2016
|
|
No additional comments posted.
|
|
Bass Creek Advisors
|
Securities and Futures Commission |
Hong Kong
|
20160630
30 Jun 2016
|
|
No additional comments posted.
|
|
Kline Capital Partners
|
Securities and Futures Commission |
Hong Kong
|
20160630
30 Jun 2016
|
|
No additional comments posted.
|
|
Executive Treuhand Partner GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160629
29 Jun 2016
|
|
No additional comments posted.
|
|
TDB-OPTIONS LIMITED
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160629
29 Jun 2016
|
|
No additional comments posted.
|
|
SFKK TRADING SOLUTIONS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160629
29 Jun 2016
|
|
No additional comments posted.
|
|
FXGlobal1 / EXPERT CAPITAL VENTURES LIMITED
|
Securities and Futures Commission |
Hong Kong
|
20160627
27 Jun 2016
|
|
No additional comments posted.
|
|
Value Management Inc
|
Securities and Futures Commission |
Hong Kong
|
20160627
27 Jun 2016
|
|
No additional comments posted.
|
|
Regency Associates
|
Securities and Futures Commission |
Hong Kong
|
20160627
27 Jun 2016
|
|
No additional comments posted.
|
|
Jordan Group Financial
|
Securities and Futures Commission |
Hong Kong
|
20160627
27 Jun 2016
|
|
No additional comments posted.
|
|
E-transact Worldwide Limited
|
Financial Conduct Authority |
United Kingdom
|
20160624
24 Jun 2016
|
|
No additional comments posted.
|
|
Sterling Consultancy Options (clone)
|
Financial Conduct Authority |
United Kingdom
|
20160623
23 Jun 2016
|
|
No additional comments posted.
|
|
Banco FX
|
Financial Conduct Authority |
United Kingdom
|
20160623
23 Jun 2016
|
|
No additional comments posted.
|
|
Tokai Global Trading
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20160623
23 Jun 2016
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Gruber & Taylor Co (USA)
|
Central Bank of Ireland |
Ireland
|
20160623
23 Jun 2016
|
|
Gruber & Taylor Co is not authorised to provide investment services to persons in Ireland. The firm purports to be based in Seattle, USA.
|
|
Simple Finance (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20160623
23 Jun 2016
|
|
No additional comments posted.
|
|
Novus Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20160623
23 Jun 2016
|
|
Clone of former FCA authorised firm
|
|
Cannon Corporate Consultants
|
Financial Conduct Authority |
United Kingdom
|
20160622
22 Jun 2016
|
|
No additional comments posted.
|
|
St. World Trade Inc.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20160621
21 Jun 2016
|
|
Advisory Warning - entity purporting to be incorporated, licensed and regulated in the British Virgin Islands
|
|
TradeFxi Forex, Inc.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20160621
21 Jun 2016
|
|
Advisory Warning - Entity purporting to be incorporated, licensed and regulated in the British Virgin Islands
|
|
NKFX Holdings Inc.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20160621
21 Jun 2016
|
|
Advisory Warning - Entity purporting to be incorporated, licensed and regulated in the British Virgin Islands
|
|
Lexington Investment Capital Inc.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20160621
21 Jun 2016
|
|
Advisory Warning - Entity not licensed by the BVI FSC to carry on financial services business in or from within the Virgin Islands
|
|
TradeFXA Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20160621
21 Jun 2016
|
|
Advisory Warning - purporting to be incorporated, licensed and regulated in the British Virgin Islands
|
|
XPMarkets Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20160621
21 Jun 2016
|
|
Advisory Warning - purporting to be incorporated, licensed and regulated in the British Virgin Islands
|
|
Citco Trust Corporation Ltd. Operating as Citco Trust Corp.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20160621
21 Jun 2016
|
|
Advisory Warning - Impersonation of a licensed BVI corporate service provider
|
|
European Union National Clearance Agency
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20160621
21 Jun 2016
|
|
Advisory Warning - Circulation of falsified Incorporation documents
|
|
Mizuho Corporate Global
|
Finansinspektionen |
Sweden
|
20160621
21 Jun 2016
|
|
No additional comments posted.
|
|
Shelden Associates
|
Finansinspektionen |
Sweden
|
20160621
21 Jun 2016
|
|
No additional comments posted.
|
|
Ephraim Global
|
Finansinspektionen |
Sweden
|
20160621
21 Jun 2016
|
|
No additional comments posted.
|
|
SBMA Investment
|
Financial Services Commission |
Mauritius
|
20160621
21 Jun 2016
|
|
No additional comments posted.
|
|
Epic Loans
|
Financial Conduct Authority |
United Kingdom
|
20160620
20 Jun 2016
|
|
No additional comments posted.
|
|
Keiyo Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20160620
20 Jun 2016
|
|
No additional comments posted.
|
|
TFX Traders
|
Financial Conduct Authority |
United Kingdom
|
20160620
20 Jun 2016
|
|
No additional comments posted.
|
|
Athos International Management
|
Financial Services and Markets Authority |
Belgium
|
20160620
20 Jun 2016
|
|
warning
|
|
Apex Equities
|
Securities and Futures Commission |
Hong Kong
|
20160620
20 Jun 2016
|
|
No additional comments posted.
|
|
www.nhjr999.com
|
Securities and Futures Commission |
Hong Kong
|
20160620
20 Jun 2016
|
|
No additional comments posted.
|
|
www.jmusics.com
|
Securities and Futures Commission |
Hong Kong
|
20160620
20 Jun 2016
|
|
No additional comments posted.
|
|
Unauthorised websites offering trading in binary options
|
Autorité des marchés financiers |
France
|
20160617
17 Jun 2016
|
|
The French AMF is publishing a update to the list of unauthorized websites offering trading in binary options.
more
|
|
Nomura Levy Mergers & Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20160617
17 Jun 2016
|
|
Clone of FCA authorised firm
|
|
GOLDprofessionell Austria GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160616
16 Jun 2016
|
|
No additional comments posted.
|
|
Trans-Atlantic Direct
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160616
16 Jun 2016
|
|
No additional comments posted.
|
|
Silver Ridge Resources
|
Securities and Futures Commission |
Hong Kong
|
20160616
16 Jun 2016
|
|
No additional comments posted.
|
|
Option888 VIP
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160615
15 Jun 2016
|
|
No additional comments posted.
|
|
Sachs International, S.A.
|
Securities and Futures Commission |
Hong Kong
|
20160615
15 Jun 2016
|
|
No additional comments posted.
|
|
Central Option / Central Provider Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160615
15 Jun 2016
|
|
No additional comments posted.
|
|
Camden Financial Services
|
Securities and Futures Commission |
Hong Kong
|
20160615
15 Jun 2016
|
|
No additional comments posted.
|
|
Locker Global Management / Locker Capital Management
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20160614
14 Jun 2016
|
|
No additional comments posted.
|
|
Soren Moller
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20160614
14 Jun 2016
|
|
No additional comments posted.
|
|
Fuji Credit Asset Management
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20160614
14 Jun 2016
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Fast Loans Now
|
Financial Conduct Authority |
United Kingdom
|
20160613
13 Jun 2016
|
|
No additional comments posted.
|
|
Stanford Law
|
Financial Conduct Authority |
United Kingdom
|
20160613
13 Jun 2016
|
|
No additional comments posted.
|
|
Cohen & Partners
|
Financial Conduct Authority |
United Kingdom
|
20160610
10 Jun 2016
|
|
No additional comments posted.
|
|
Makler Company Sebastian Toczek
|
Polish Financial Supervision Authority |
Poland
|
20160610
10 Jun 2016
|
|
No additional comments posted.
|
|
Spindler & Partner LLP
|
Jersey Financial Services Commission |
Jersey
|
20160609
09 Jun 2016
|
|
No additional comments posted.
|
|
Capstone Financial Development
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160607
07 Jun 2016
|
|
No additional comments posted.
|
|
Capita Consult
|
Financial Conduct Authority |
United Kingdom
|
20160607
07 Jun 2016
|
|
Clone of FCA authorised firm
|
|
Osaka Financial/Nippon Capital Asset Management
|
Danish Financial Supervisory Authority |
Denmark
|
20160606
06 Jun 2016
|
|
The Danish Financial Supervisory Authority has been informed that Nippon Capital Asset Management which now goes by the name Osaka Financial, unsolicited has offered to carry out financial services. Osaka Financials address is 28f, Grand Front Osaka
more
|
|
Bauer Schmidt & Guenter
|
Financial Conduct Authority |
United Kingdom
|
20160603
03 Jun 2016
|
|
Clone of FCA authorised firm
|
|
Institute of Finance Technology SA
|
Hellenic Capital Market Commission |
Greece
|
20160603
03 Jun 2016
|
|
No additional comments posted.
|
|
MFG Investments
|
Financial Conduct Authority |
United Kingdom
|
20160602
02 Jun 2016
|
|
Clone of FCA authorised firm
|
|
Traditional Funds Plc
|
Financial Conduct Authority |
United Kingdom
|
20160602
02 Jun 2016
|
|
Clone of FCA authorised firm
|
|
Momentum FX / Momentum Markets / Momentum Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20160602
02 Jun 2016
|
|
No additional comments posted.
|
|
HTTP://TRADINGFOREX.ES/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160601
01 Jun 2016
|
|
No additional comments posted.
|
|
Preditrend
|
Autorité des marchés financiers |
France
|
20160531
31 May 2016
|
|
The French AMF is issuing a public warning about sites touting the benefits of an algorithm and linking to a trading platform, and a specific warning about Preditrend.
|
|
Unauthorised websites offering Forex investments
|
Autorité des marchés financiers |
France
|
20160531
31 May 2016
|
|
The French AMF and ACPR are publishing a list of new websites and entities offering investments on the unregulated foreign exchange (Forex) market in France, without authorisation to do so.
more
|
|
Ava Trade Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20160531
31 May 2016
|
|
No additional comments posted.
|
|
Global Ark Group
|
Securities and Futures Commission |
Hong Kong
|
20160530
30 May 2016
|
|
No additional comments posted.
|
|
Schulz & Partner
|
Financial Conduct Authority |
United Kingdom
|
20160527
27 May 2016
|
|
Clone of EEA authorised firm
|
|
深圳市中信達資產管理有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20160526
26 May 2016
|
|
No additional comments posted.
|
|
Sunrise Brokers Group
|
Securities and Futures Commission |
Hong Kong
|
20160526
26 May 2016
|
|
No additional comments posted.
|
|
Lloyd & Mitchell Partners
|
Securities and Futures Commission |
Hong Kong
|
20160526
26 May 2016
|
|
No additional comments posted.
|
|
IPC Capital
|
Securities and Futures Commission |
Hong Kong
|
20160526
26 May 2016
|
|
No additional comments posted.
|
|
AMF Services
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160526
26 May 2016
|
|
No additional comments posted.
|
|
Newport Enterprises
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160526
26 May 2016
|
|
No additional comments posted.
|
|
Watters & Partners Ltd
|
Financial Conduct Authority |
United Kingdom
|
20160525
25 May 2016
|
|
No additional comments posted.
|
|
Walkert Alliance
|
Financial Conduct Authority |
United Kingdom
|
20160524
24 May 2016
|
|
No additional comments posted.
|
|
Quick Financer
|
Financial Conduct Authority |
United Kingdom
|
20160524
24 May 2016
|
|
No additional comments posted.
|
|
Pullman Wealth Management
|
Securities and Futures Commission |
Hong Kong
|
20160524
24 May 2016
|
|
No additional comments posted.
|
|
Capstone Financial Development
|
Central Bank of Ireland |
Ireland
|
20160523
23 May 2016
|
|
Capstone Financial Development is not authorised to provide investment services in Ireland. The firm purports to be based in Zurich, Switzerland.
|
|
Sameday Loans
|
Financial Conduct Authority |
United Kingdom
|
20160523
23 May 2016
|
|
No additional comments posted.
|
|
Unsecured Loan Call Me (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20160523
23 May 2016
|
|
No additional comments posted.
|
|
Unsecured Loan For All / Unsecured Loan 4 All (clone)
|
Financial Conduct Authority |
United Kingdom
|
20160523
23 May 2016
|
|
No additional comments posted.
|
|
Grosvenor Capital / GCR Capital
|
Financial Conduct Authority |
United Kingdom
|
20160523
23 May 2016
|
|
No additional comments posted.
|
|
IvoryOption, operated by Arianus Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20160520
20 May 2016
|
|
No additional comments posted.
|
|
Trades Capital, operated by TTN Marketing Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20160520
20 May 2016
|
|
No additional comments posted.
|
|
IVA PROGRESS LTD “Banco Capital”
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160519
19 May 2016
|
|
No additional comments posted.
|
|
TIGER ASSET MANAGEMENT
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160518
18 May 2016
|
|
No additional comments posted.
|
|
Fouani Equity Fund
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160518
18 May 2016
|
|
No additional comments posted.
|
|
www.norbertmach.com
|
Financial Market Authority |
Austria
|
20160517
17 May 2016
|
|
No additional comments posted.
|
|
Magnum Options, operated by Hampshire Capital Ventures Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20160516
16 May 2016
|
|
No additional comments posted.
|
|
Franz Pranz
|
Financial Conduct Authority |
United Kingdom
|
20160513
13 May 2016
|
|
Clone of EEA authorised firm
|
|
Sure Money UK (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20160513
13 May 2016
|
|
No additional comments posted.
|
|
China Emerald Consulting
|
Securities and Futures Commission |
Hong Kong
|
20160511
11 May 2016
|
|
No additional comments posted.
|
|
Hudson Knight
|
Jersey Financial Services Commission |
Jersey
|
20160510
10 May 2016
|
|
No additional comments posted.
|
|
International Mergers & Acquisitions LLP
|
Jersey Financial Services Commission |
Jersey
|
20160510
10 May 2016
|
|
No additional comments posted.
|
|
CVC Groups Private Capital and CVC Ltd
|
Jersey Financial Services Commission |
Jersey
|
20160510
10 May 2016
|
|
No additional comments posted.
|
|
Financial Services Net Ltd
|
Financial Conduct Authority |
United Kingdom
|
20160509
09 May 2016
|
|
Clone of FCA registered firm
|
|
Clewis Financial
|
Securities and Futures Commission |
Hong Kong
|
20160509
09 May 2016
|
|
No additional comments posted.
|
|
Shinjuku Commodities
|
Securities and Futures Commission |
Hong Kong
|
20160509
09 May 2016
|
|
No additional comments posted.
|
|
Sunseeker Energy Limited
|
Securities and Futures Commission |
Hong Kong
|
20160509
09 May 2016
|
|
No additional comments posted.
|
|
Guidepost Investments Limited
|
Securities and Futures Commission |
Hong Kong
|
20160509
09 May 2016
|
|
No additional comments posted.
|
|
Kent Holdings International Limited
|
Securities and Futures Commission |
Hong Kong
|
20160509
09 May 2016
|
|
No additional comments posted.
|
|
US Capital Private Bank / US Capital Funding II/ U.S. Capital II Investments (Hong Kong) Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160506
06 May 2016
|
|
No additional comments posted.
|
|
Emma & Ethan Limited
|
Securities and Futures Commission |
Hong Kong
|
20160506
06 May 2016
|
|
No additional comments posted.
|
|
IPC Capital
|
Finansinspektionen |
Sweden
|
20160506
06 May 2016
|
|
No additional comments posted.
|
|
Yamamoto International
|
Finansinspektionen |
Sweden
|
20160506
06 May 2016
|
|
No additional comments posted.
|
|
Nankai Group
|
Finansinspektionen |
Sweden
|
20160506
06 May 2016
|
|
No additional comments posted.
|
|
Shaw, Edwards, Emmerson & Knight LTD LLP (SEEK Ltd. LLC/LLP)
|
Finansinspektionen |
Sweden
|
20160506
06 May 2016
|
|
No additional comments posted.
|
|
Smallwood & Brown Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160506
06 May 2016
|
|
No additional comments posted.
|
|
Falcon Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20160505
05 May 2016
|
|
No additional comments posted.
|
|
Lloyd Financial Service
|
Financial Conduct Authority |
United Kingdom
|
20160505
05 May 2016
|
|
No additional comments posted.
|
|
Scorpion Loans
|
Financial Conduct Authority |
United Kingdom
|
20160504
04 May 2016
|
|
No additional comments posted.
|
|
IPC Capital
|
Financial Market Authority |
Austria
|
20160503
03 May 2016
|
|
No additional comments posted.
|
|
Arthur-Sera Limited
|
Financial Market Authority |
Austria
|
20160503
03 May 2016
|
|
No additional comments posted.
|
|
Daikyo Brokerage Limited
|
Financial Market Authority |
Austria
|
20160503
03 May 2016
|
|
No additional comments posted.
|
|
China Beijing Mergers & Acquisitions Corporation
|
Financial Conduct Authority |
United Kingdom
|
20160429
29 Apr 2016
|
|
No additional comments posted.
|
|
GSH Solutions
|
Financial Conduct Authority |
United Kingdom
|
20160429
29 Apr 2016
|
|
No additional comments posted.
|
|
Rushmoor Associates
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160428
28 Apr 2016
|
|
No additional comments posted.
|
|
Swiss Commercial Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160428
28 Apr 2016
|
|
No additional comments posted.
|
|
Waldorf Harding Associates
|
Securities and Futures Commission |
Hong Kong
|
20160427
27 Apr 2016
|
|
No additional comments posted.
|
|
International Mergers LLP
|
Financial Conduct Authority |
United Kingdom
|
20160426
26 Apr 2016
|
|
No additional comments posted.
|
|
Beckett & Cromwell
|
Financial Conduct Authority |
United Kingdom
|
20160426
26 Apr 2016
|
|
No additional comments posted.
|
|
Capital Trust Ventures
|
Financial Conduct Authority |
United Kingdom
|
20160425
25 Apr 2016
|
|
No additional comments posted.
|
|
First East Export Bank Offshore Labuan
|
Securities Commission |
Malaysia
|
20160425
25 Apr 2016
|
|
No additional comments posted.
|
|
Carlsson and Capehart Group Ltd
|
Central Bank of Ireland |
Ireland
|
20160422
22 Apr 2016
|
|
Carlsson and Capehart Group Ltd is not authorised to provide investment services to persons in Ireland. The firm purports to be based in the United States.
|
|
Yamazaki Acquisition Group
|
Central Bank of Ireland |
Ireland
|
20160421
21 Apr 2016
|
|
Yamazaki Acquisition Group is not authorised to provide investment services to persons in Ireland. The firm purports to be based in Yokohama, Japan.
|
|
Tommy and Bobby Limited
|
Securities and Futures Commission |
Hong Kong
|
20160421
21 Apr 2016
|
|
No additional comments posted.
|
|
Swiss First Financial Management AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160421
21 Apr 2016
|
|
No additional comments posted.
|
|
Strategic Capital System
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160421
21 Apr 2016
|
|
No additional comments posted.
|
|
Fink Bernstein
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160421
21 Apr 2016
|
|
No additional comments posted.
|
|
Berenberg Private Banking
|
Securities and Futures Commission |
Hong Kong
|
20160421
21 Apr 2016
|
|
No additional comments posted.
|
|
Fort Global Fund Managers
|
Financial Conduct Authority |
United Kingdom
|
20160420
20 Apr 2016
|
|
Clone of an FCA Authorised Firm
|
|
Gerard & Alterman
|
Financial Conduct Authority |
United Kingdom
|
20160420
20 Apr 2016
|
|
Clone of an EEA Authorised Firm
|
|
Carlson & Clarke Management Group
|
Financial Conduct Authority |
United Kingdom
|
20160420
20 Apr 2016
|
|
No additional comments posted.
|
|
Norbert Mach
|
Financial Conduct Authority |
United Kingdom
|
20160420
20 Apr 2016
|
|
Clone of EEA authorised firm
|
|
Raymund Servais
|
Financial Conduct Authority |
United Kingdom
|
20160420
20 Apr 2016
|
|
Clone of EEA authorised firm
|
|
VELASCO & ASOCIADOS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160420
20 Apr 2016
|
|
No additional comments posted.
|
|
Explore Markets Limited
|
Financial Conduct Authority |
United Kingdom
|
20160419
19 Apr 2016
|
|
No additional comments posted.
|
|
Global Capital Ltd, T.T.F. and SwissPartners AG-Trading Technologies Ltd and Consorfx-Zulutoys Ltd, RBOptions and RB Secured Processing Ltd
|
Financial Services and Markets Authority |
Belgium
|
20160418
18 Apr 2016
|
|
warning Binary Options and Forex Products
|
|
Arian Financial, Alborg Trading Inc. and Kalahouse Limited-- Option500, Option Solution Group Limited and Option Solution Online Limited-- Service Qualité des Plateformes Boursières (SQPB)-Stock Binary (cloned firm) and STB-Swiss Investment (cloned firm)
|
Financial Services and Markets Authority |
Belgium
|
20160418
18 Apr 2016
|
|
warning Binary Options and Forex products
|
|
-FXSEP,SEP Global,Hedge Funds Liège 2015 and Fonds d’investissement Liège 2015-G.M. Marketing Group Limited,Tradesolid and G.M. Software Solutions Limited-GCI Financial LLC and GCI-Lau Global Services Corporation, MXTrade and Taris Financial Corp.-NG-Bank
|
Financial Services and Markets Authority |
Belgium
|
20160418
18 Apr 2016
|
|
warning Binary Options and Forex Products
|
|
-Banque Investissement-- CapitalCourtage, Eich Invest Ltd, 10 Spheres Media Ltd and First Consulting SCS-- CEDIE-- E Trade Securities (cloned firm)
|
Financial Services and Markets Authority |
Belgium
|
20160418
18 Apr 2016
|
|
warning Binary Options and Forex Products
|
|
Pan-Asia Trading Partners
|
Securities and Futures Commission |
Hong Kong
|
20160418
18 Apr 2016
|
|
No additional comments posted.
|
|
MTL Index
|
Autorité des marchés financiers |
France
|
20160415
15 Apr 2016
|
|
The AMF warns investors about investment offerings in France from MTL Index.
more
|
|
I Cash Advance (clone)
|
Financial Conduct Authority |
United Kingdom
|
20160415
15 Apr 2016
|
|
No additional comments posted.
|
|
Bradley & Rogers / Bradley Rogers LLC
|
Financial Conduct Authority |
United Kingdom
|
20160414
14 Apr 2016
|
|
No additional comments posted.
|
|
CJR Investments
|
Financial Conduct Authority |
United Kingdom
|
20160414
14 Apr 2016
|
|
No additional comments posted.
|
|
HTTPS://WWW.IBAMARKETS.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160414
14 Apr 2016
|
|
No additional comments posted.
|
|
UNITED INVESTMENT FEDERATION, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160414
14 Apr 2016
|
|
No additional comments posted.
|
|
Russell Investment
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20160413
13 Apr 2016
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Hermes Management Ltd
|
Financial Market Authority |
Austria
|
20160413
13 Apr 2016
|
|
No additional comments posted.
|
|
Claudia Blank
|
Financial Market Authority |
Austria
|
20160413
13 Apr 2016
|
|
No additional comments posted.
|
|
Compass Money sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20160413
13 Apr 2016
|
|
No additional comments posted.
|
|
Liberum Capital Limited
|
Financial Conduct Authority |
United Kingdom
|
20160412
12 Apr 2016
|
|
Clone of a FCA authorised firm
|
|
CST Financial Services Ltd., operating as Opteck
|
British Columbia Securities Commission |
British Columbia
|
20160408
08 Apr 2016
|
|
No additional comments posted.
|
|
Rushmoor Associates
|
Financial Conduct Authority |
United Kingdom
|
20160408
08 Apr 2016
|
|
No additional comments posted.
|
|
Loans Today
|
Financial Conduct Authority |
United Kingdom
|
20160408
08 Apr 2016
|
|
No additional comments posted.
|
|
GS Loans
|
Financial Conduct Authority |
United Kingdom
|
20160408
08 Apr 2016
|
|
No additional comments posted.
|
|
GFS Management
|
Financial Conduct Authority |
United Kingdom
|
20160408
08 Apr 2016
|
|
Clone of FCA authorised Firm
|
|
Surekeep Marketing – CRE Group INC (ou C.R.E. Group INC) – Finsolved Management & Consultancy – Raiser Limited
|
Financial Services and Markets Authority |
Belgium
|
20160408
08 Apr 2016
|
|
warning recovery rooms
|
|
Cole & Rushton LLC – Ernst & Taylor LLP – Friedman Global – Shanghai Derivatives Exchange (SHDEX) – Caïs Capital LLC – RBCT Trading – PWL Trading – BNK Trading – East Tech Trad. – Nyt Trading – TAML Trading
|
Financial Services and Markets Authority |
Belgium
|
20160408
08 Apr 2016
|
|
warning recovery rooms
|
|
W Parker Consultants LLC
|
Financial Conduct Authority |
United Kingdom
|
20160406
06 Apr 2016
|
|
No additional comments posted.
|
|
WWW.ESCUELADETRADERS.ORG / WWW.ESCUELADETRADERS.ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160406
06 Apr 2016
|
|
No additional comments posted.
|
|
HTTPS://WWW.BELFORFX.COM/ES - HTTP://WWW.ISOCIALFX.COM/ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160406
06 Apr 2016
|
|
No additional comments posted.
|
|
Delta Lloyd Investment Fund N.V.
|
British Columbia Securities Commission |
British Columbia
|
20160404
04 Apr 2016
|
|
No additional comments posted.
|
|
Best Loans LImited
|
Financial Conduct Authority |
United Kingdom
|
20160404
04 Apr 2016
|
|
No additional comments posted.
|
|
Osprey Asset Management SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160401
01 Apr 2016
|
|
No additional comments posted.
|
|
Swiss Banque
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160401
01 Apr 2016
|
|
No additional comments posted.
|
|
OTMFX, Online Trade Market FX
|
Financial Services Commission |
Mauritius
|
20160401
01 Apr 2016
|
|
No additional comments posted.
|
|
Global Dynamic Investment Hawo Holding Inc.
|
Financial Market Authority |
Austria
|
20160401
01 Apr 2016
|
|
No additional comments posted.
|
|
ZRAK Private Bank
|
Financial Market Authority |
Austria
|
20160401
01 Apr 2016
|
|
No additional comments posted.
|
|
Crown Star Investment Limited
|
Securities and Futures Commission |
Hong Kong
|
20160401
01 Apr 2016
|
|
No additional comments posted.
|
|
Apex International Consulting Corporation
|
Securities and Futures Commission |
Hong Kong
|
20160401
01 Apr 2016
|
|
No additional comments posted.
|
|
Hong Kong International Million Abundant Cultural Art Limited
|
Securities and Futures Commission |
Hong Kong
|
20160331
31 Mar 2016
|
|
No additional comments posted.
|
|
Renminbi Yuan Holdings China
|
Securities and Futures Commission |
Hong Kong
|
20160331
31 Mar 2016
|
|
No additional comments posted.
|
|
VILA NOVA ADVISORY MANAGEMENT LTDA
|
Comissão de Valores Mobiliários |
Brazil
|
20160330
30 Mar 2016
|
|
Not authorized by the CVM of Brazil to perform any activities within the securities market through the page http://www.vn-am.com/
|
|
RANGE FORCE
|
Comissão de Valores Mobiliários |
Brazil
|
20160330
30 Mar 2016
|
|
Not authorized by the CVM of Brazil to perform any activities within the securities market through the page http://rangeforce.blogspot.com.br
|
|
B & F APOIO ADMINISTRATIVO EXERCIDO DE FORMA ESTRATEGICA LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20160330
30 Mar 2016
|
|
Not authorized by the CVM Brazil to perform portfolio management through the page http://www.befwm.com
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20160330
30 Mar 2016
|
|
Not authorized by the CVM of Brazil to perform any activities within the securities market. Not authorized by the CVM of Brazil to engage in securities consulting through the page http://www.opequenoinvestidor.com.br.
|
|
Panela Futebol Clube Intermediações de Negócios Ltda.
|
Comissão de Valores Mobiliários |
Brazil
|
20160330
30 Mar 2016
|
|
Not authorized by the CVM of Brazil to publicly offer securities or collective investment contracts through the page www.panelafc.com.br
|
|
Trade Invest – Investimento e Desenvolvimento S/A
|
Comissão de Valores Mobiliários |
Brazil
|
20160330
30 Mar 2016
|
|
Not authorized by the CVM of Brazil to publicly offer securities or collective investment contracts through the pages http://www.tradeinvestsa.com.br/ and https://www.facebook.com/tradeinvest.com/tradeinvestbrasil?ref=br_rs
|
|
B.I.G. Construção e Incorporação Ltda
|
Comissão de Valores Mobiliários |
Brazil
|
20160330
30 Mar 2016
|
|
Not authorized by the CVM of Brazil to publicly offer securities or collective investment contracts through the page http://bigincorporacoes.com.br
|
|
Lufimma Incorporações Ltda. (“Lufimma”)
|
Comissão de Valores Mobiliários |
Brazil
|
20160330
30 Mar 2016
|
|
Not authorized by the CVM of Brazil to publicly offer securities or collective investment contracts through the pages http://www.hotelpersonalexpress.com.br and http://www.lufimma.com.br/imovel-visualizar/personal-express/4#conteudo
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20160330
30 Mar 2016
|
|
Unauthorized security intermediation activities.
|
|
Central Provider Ltd. operating as Central Options
|
British Columbia Securities Commission |
British Columbia
|
20160330
30 Mar 2016
|
|
No additional comments posted.
|
|
Alex & Hazel Limited
|
Securities and Futures Commission |
Hong Kong
|
20160330
30 Mar 2016
|
|
No additional comments posted.
|
|
James Doyle
|
Securities and Futures Commission |
Hong Kong
|
20160330
30 Mar 2016
|
|
No additional comments posted.
|
|
Parus Capital Hong Kong Limited
|
Securities and Futures Commission |
Hong Kong
|
20160330
30 Mar 2016
|
|
No additional comments posted.
|
|
Parus Capital Limited
|
Securities and Futures Commission |
Hong Kong
|
20160330
30 Mar 2016
|
|
No additional comments posted.
|
|
Stock Port Associates Inc.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160330
30 Mar 2016
|
|
No additional comments posted.
|
|
CTOption and InfiniCore Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20160329
29 Mar 2016
|
|
No additional comments posted.
|
|
Unauthorised websites offering binary options
|
Autorité des marchés financiers |
France
|
20160329
29 Mar 2016
|
|
Please find attached the AMF’s latest warning regarding unauthorised websites offering trading in binary options.
more
|
|
Asia Pacific Limited
|
Financial Conduct Authority |
United Kingdom
|
20160323
23 Mar 2016
|
|
No additional comments posted.
|
|
Hamano and Partners
|
Central Bank of Ireland |
Ireland
|
20160323
23 Mar 2016
|
|
Hamano and Partners is not authorised to provide investment services to persons in Ireland. The firm purports to be based in Tokyo.
|
|
Launton Wealth
|
Financial Conduct Authority |
United Kingdom
|
20160323
23 Mar 2016
|
|
Clone of EEA Authorised firm
|
|
Granada Capital
|
Securities and Futures Commission |
Hong Kong
|
20160323
23 Mar 2016
|
|
No additional comments posted.
|
|
Forbes Private Capital Group (HK)
|
Securities and Futures Commission |
Hong Kong
|
20160323
23 Mar 2016
|
|
No additional comments posted.
|
|
Ferrari Investment
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160323
23 Mar 2016
|
|
No additional comments posted.
|
|
Quick Loan Services Pty Ltd
|
Australian Securities and Investments Commission |
Australia
|
20160323
23 Mar 2016
|
|
No additional comments posted.
|
|
Private Lending Pty Ltd
|
Australian Securities and Investments Commission |
Australia
|
20160323
23 Mar 2016
|
|
No additional comments posted.
|
|
Fortitude Gold Financial Planning
|
Financial Conduct Authority |
United Kingdom
|
20160322
22 Mar 2016
|
|
Clone of an FCA authorised firm
|
|
Harper Clarke Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160322
22 Mar 2016
|
|
No additional comments posted.
|
|
Crown Corporate Consultants
|
Financial Conduct Authority |
United Kingdom
|
20160322
22 Mar 2016
|
|
No additional comments posted.
|
|
Swiss Consultant CH Company SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160322
22 Mar 2016
|
|
No additional comments posted.
|
|
The Sterling Group International
|
Financial Market Authority |
Austria
|
20160321
21 Mar 2016
|
|
No additional comments posted.
|
|
Ferrier Group
|
Financial Conduct Authority |
United Kingdom
|
20160318
18 Mar 2016
|
|
No additional comments posted.
|
|
Resolution Fund International
|
Financial Conduct Authority |
United Kingdom
|
20160318
18 Mar 2016
|
|
Clone of an FCA authorised firm
|
|
Winton Fund Managers
|
Financial Conduct Authority |
United Kingdom
|
20160318
18 Mar 2016
|
|
Cloning FCA authorised firm
|
|
Edward Collins Associates
|
Financial Conduct Authority |
United Kingdom
|
20160318
18 Mar 2016
|
|
No additional comments posted.
|
|
AlfaTrade, Nemesis Capital Limited (together, the Parties)
|
British Columbia Securities Commission |
British Columbia
|
20160317
17 Mar 2016
|
|
No additional comments posted.
|
|
Thompson Advisors
|
Financial Conduct Authority |
United Kingdom
|
20160317
17 Mar 2016
|
|
No additional comments posted.
|
|
Top Forex
|
Polish Financial Supervision Authority |
Poland
|
20160317
17 Mar 2016
|
|
An entity not listed in the National Court Register nor in the Central Registration and Information on Business.
|
|
Admiral Global Private Equity Group
|
Securities and Futures Commission |
Hong Kong
|
20160317
17 Mar 2016
|
|
No additional comments posted.
|
|
Werte Consulting AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160316
16 Mar 2016
|
|
No additional comments posted.
|
|
Frans Terrier
|
Financial Conduct Authority |
United Kingdom
|
20160315
15 Mar 2016
|
|
Clone of EEA authorised firm
|
|
Aspect fund Managers Plc
|
Financial Conduct Authority |
United Kingdom
|
20160315
15 Mar 2016
|
|
Clone of FCA authorised firm
|
|
Evercore
|
Financial Conduct Authority |
United Kingdom
|
20160315
15 Mar 2016
|
|
Clone of FCA authorised firm
|
|
Voth Nixon Group
|
Securities and Futures Commission |
Hong Kong
|
20160314
14 Mar 2016
|
|
No additional comments posted.
|
|
My Height sp. z o.o. (in National Court Register (KRS) under the name Fawis Sp. z o.o.)
|
Polish Financial Supervision Authority |
Poland
|
20160311
11 Mar 2016
|
|
No additional comments posted.
|
|
High Net Global Ltd
|
Financial Supervisory Commission |
Chinese Taipei
|
20160311
11 Mar 2016
|
|
High Net Global Ltd. claims to be a portfolio management firm with offices at 11F, No. 279, Section 4 Xinyi Road, Da-an District, Taipei, Taiwan. Our records show that High Net Global Ltd. does neither have a license in Taiwan to conduct securities b
more
|
|
Amberfield Group
|
Financial Supervisory Commission |
Chinese Taipei
|
20160311
11 Mar 2016
|
|
Amberfield Group claims to be a portfolio management firm with offices at No. 7, Section 5 Xinyi Road, Xinyi District, Taipei, Taiwan. Our records show that Amberfield Group does neither have a license in Taiwan to conduct securities businesses nor h
more
|
|
Tyson Asset Management Inc.
|
Securities and Futures Commission |
Hong Kong
|
20160310
10 Mar 2016
|
|
No additional comments posted.
|
|
Free Money System
|
Ontario Securities Commission |
Ontario
|
20160308
08 Mar 2016
|
|
Free Money System doing business as www.freemoneysystem.net,
more
|
|
Bloombex Limited operating as bloombex-options.com and www.bloombex-partners.com
|
Ontario Securities Commission |
Ontario
|
20160308
08 Mar 2016
|
|
Bloombex Ltd. doing business as bloombex-options.com and
more
|
|
Pilpel Capital Ltd. doing business as bloombex-options.com
|
Ontario Securities Commission |
Ontario
|
20160308
08 Mar 2016
|
|
Pilpel Capital Ltd. doing business as www.bloombex-options.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Ferrier Group (USA)
|
Central Bank of Ireland |
Ireland
|
20160308
08 Mar 2016
|
|
Ferrier Group (USA) is not authorised to provide investment services to persons in Ireland. The firm purports to be based in the United States.
|
|
Hostsave Investments Limited
|
Financial Conduct Authority |
United Kingdom
|
20160307
07 Mar 2016
|
|
No additional comments posted.
|
|
Binary options platforms copy information of regulated companies
|
Autorité des marchés financiers |
France
|
20160304
04 Mar 2016
|
|
The AMF's warning concerns binary options platforms which copy the official information of duly regulated companies in order to mislead investors and promote their own activity.
|
|
Galaad Capital Group
|
Securities and Futures Commission |
Hong Kong
|
20160304
04 Mar 2016
|
|
No additional comments posted.
|
|
Hasegawa Financial Holdings
|
Securities and Futures Commission |
Hong Kong
|
20160304
04 Mar 2016
|
|
No additional comments posted.
|
|
Iqoption Europe Ltd., operating as IQ Optin
|
British Columbia Securities Commission |
British Columbia
|
20160303
03 Mar 2016
|
|
No additional comments posted.
|
|
WWW.EMPIREOPTION.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160302
02 Mar 2016
|
|
No additional comments posted.
|
|
Balquidder Advisers Limited
|
Financial Conduct Authority |
United Kingdom
|
20160301
01 Mar 2016
|
|
No additional comments posted.
|
|
Trading Banks
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160301
01 Mar 2016
|
|
No additional comments posted.
|
|
Warszawska Giełda Towarowa S.A. (WGT S.A.)
|
Polish Financial Supervision Authority |
Poland
|
20160229
29 Feb 2016
|
|
No additional comments posted.
|
|
Verein Crypto Currency User
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160229
29 Feb 2016
|
|
No additional comments posted.
|
|
IRM Inc.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160224
24 Feb 2016
|
|
No additional comments posted.
|
|
Resolution Investments Plc
|
Financial Conduct Authority |
United Kingdom
|
20160224
24 Feb 2016
|
|
Clone of FCA authorised Firm and using similar name
|
|
QMI Financial
|
Finansinspektionen |
Sweden
|
20160224
24 Feb 2016
|
|
No additional comments posted.
|
|
Escrow Service Group
|
Finansinspektionen |
Sweden
|
20160224
24 Feb 2016
|
|
No additional comments posted.
|
|
Gemini Acquisitions
|
Finansinspektionen |
Sweden
|
20160224
24 Feb 2016
|
|
No additional comments posted.
|
|
Whitehall Capital Group
|
Finansinspektionen |
Sweden
|
20160224
24 Feb 2016
|
|
No additional comments posted.
|
|
Reef Capital Advisors
|
Finansinspektionen |
Sweden
|
20160224
24 Feb 2016
|
|
No additional comments posted.
|
|
MUTUAL SANTA CRUZ INVESTIMENTO MÚTUO/ EL CONSULTORIA E ADMINISTRAÇÃO FINANCEIRA LTDA
|
Comissão de Valores Mobiliários |
Brazil
|
20160222
22 Feb 2016
|
|
Unauthorized security intermediation activities.
|
|
https://www.facebook.com/grupoefexbrasill
|
Comissão de Valores Mobiliários |
Brazil
|
20160222
22 Feb 2016
|
|
Unauthorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other) through the website: https://www.facebook.com/grupoefexbrasill
|
|
REAL INVESTIMENTOS
|
Comissão de Valores Mobiliários |
Brazil
|
20160222
22 Feb 2016
|
|
Unauthorized security intermediation activities.
|
|
BANESC – BANCO DE NEGÓCIOS, SERVIÇOS E CONSULTORIA Ltda.
|
Comissão de Valores Mobiliários |
Brazil
|
20160222
22 Feb 2016
|
|
Unauthorized security intermediation activities.
|
|
Binex Markets, Vision Financial Partners, LLC and Vision Trading Advisors
|
British Columbia Securities Commission |
British Columbia
|
20160222
22 Feb 2016
|
|
No additional comments posted.
|
|
Bridgeward AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160219
19 Feb 2016
|
|
No additional comments posted.
|
|
Golden Bridge FX
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160219
19 Feb 2016
|
|
No additional comments posted.
|
|
Norton Global Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20160218
18 Feb 2016
|
|
No additional comments posted.
|
|
Fortress Fund
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160218
18 Feb 2016
|
|
No additional comments posted.
|
|
Osaka Financial
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20160217
17 Feb 2016
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
HTTP://WWW.SAFEKLIK.COM/ES/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160217
17 Feb 2016
|
|
No additional comments posted.
|
|
HTTPS://WWW.BKTRADING.COM/ES/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160217
17 Feb 2016
|
|
No additional comments posted.
|
|
FIRST BUSINESS ORIENTATION, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160217
17 Feb 2016
|
|
No additional comments posted.
|
|
HTTP://WWW.FINANCIKA.COM/HOME
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160217
17 Feb 2016
|
|
No additional comments posted.
|
|
Hongkong Fengye International Financial Investment Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160216
16 Feb 2016
|
|
No additional comments posted.
|
|
Blackstone Financial Investment Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160216
16 Feb 2016
|
|
No additional comments posted.
|
|
FX-CI Ltd
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20160215
15 Feb 2016
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
LBinary
|
British Columbia Securities Commission |
British Columbia
|
20160213
13 Feb 2016
|
|
No additional comments posted.
|
|
Option Orbit
|
British Columbia Securities Commission |
British Columbia
|
20160213
13 Feb 2016
|
|
No additional comments posted.
|
|
ZenithOptions
|
British Columbia Securities Commission |
British Columbia
|
20160213
13 Feb 2016
|
|
No additional comments posted.
|
|
Tain Capital
|
British Columbia Securities Commission |
British Columbia
|
20160213
13 Feb 2016
|
|
No additional comments posted.
|
|
SEL Investments Ltd. (operating as InvestingCI)
|
British Columbia Securities Commission |
British Columbia
|
20160212
12 Feb 2016
|
|
No additional comments posted.
|
|
www.kapitalwertbank.com sowie www.zugfx.com
|
Financial Market Authority |
Austria
|
20160211
11 Feb 2016
|
|
No additional comments posted.
|
|
Hong Kong Foreign Investments Trade Authority
|
Securities and Futures Commission |
Hong Kong
|
20160211
11 Feb 2016
|
|
No additional comments posted.
|
|
Manniworth Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160211
11 Feb 2016
|
|
No additional comments posted.
|
|
Mitsui Credit Global
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20160210
10 Feb 2016
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
GREEN INVESTMENT HOUSE CORP. (FXMARKER)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160210
10 Feb 2016
|
|
No additional comments posted.
|
|
LANDMARK TRADE LTD. (IMPERIAL OPTIONS)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160210
10 Feb 2016
|
|
No additional comments posted.
|
|
Westminster Sureties, A.G.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160209
09 Feb 2016
|
|
No additional comments posted.
|
|
Millennium Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20160208
08 Feb 2016
|
|
Clone of FCA authorised firm
|
|
Malcolm Consultancy Ltd
|
Financial Conduct Authority |
United Kingdom
|
20160208
08 Feb 2016
|
|
No additional comments posted.
|
|
Cohen Financial LLP (Cohen Financial Services)
|
Financial Market Authority |
Austria
|
20160208
08 Feb 2016
|
|
No additional comments posted.
|
|
香港東融金融集團有限公司 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20160205
05 Feb 2016
|
|
No additional comments posted.
|
|
Churchill & Partners
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160204
04 Feb 2016
|
|
No additional comments posted.
|
|
Unauthorised websites offering Forex investments
|
Autorité des marchés financiers |
France
|
20160204
04 Feb 2016
|
|
The ACPR and the AMF are publishing a list of new websites and entities offering investments on the unregulated foreign exchange (Forex) market in France, without authorisation to do so.
more
|
|
O.S.B. CONSULTORES ASOCIADOS EN LA MISMA DIRECCION, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160203
03 Feb 2016
|
|
No additional comments posted.
|
|
Qian Zhi Gu Financial / De Bell Investment Limited / Beier Financial Investment Limited
|
Securities and Futures Commission |
Hong Kong
|
20160202
02 Feb 2016
|
|
No additional comments posted.
|
|
Ao Global Investment (Hong Kong) Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160202
02 Feb 2016
|
|
No additional comments posted.
|
|
Kuva Limited
|
Bermuda Monetary Authority |
Bermuda
|
20160201
01 Feb 2016
|
|
WARNING – CLONE FIRM (‘KUVA LIMITED’)
more
|
|
WeRe Bank
|
Financial Market Authority |
Austria
|
20160201
01 Feb 2016
|
|
No additional comments posted.
|
|
Global Investments (Far East) Limited
|
Securities and Futures Commission |
Hong Kong
|
20160201
01 Feb 2016
|
|
No additional comments posted.
|
|
Global Investments International Limited
|
Securities and Futures Commission |
Hong Kong
|
20160201
01 Feb 2016
|
|
No additional comments posted.
|
|
Parmafey Ltd
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160129
29 Jan 2016
|
|
No additional comments posted.
|
|
Bloombex online
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160128
28 Jan 2016
|
|
No additional comments posted.
|
|
Experia Management Group/ Experia Management Group (HK)
|
Securities and Futures Commission |
Hong Kong
|
20160128
28 Jan 2016
|
|
No additional comments posted.
|
|
Witter Financial Group
|
Securities and Futures Commission |
Hong Kong
|
20160128
28 Jan 2016
|
|
No additional comments posted.
|
|
Blackrock Financial Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160128
28 Jan 2016
|
|
No additional comments posted.
|
|
Foland Hampton International Finance Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20160128
28 Jan 2016
|
|
No additional comments posted.
|
|
Champion Token Limited
|
Securities and Futures Commission |
Hong Kong
|
20160128
28 Jan 2016
|
|
No additional comments posted.
|
|
Champion Trust Fund
|
Securities and Futures Commission |
Hong Kong
|
20160128
28 Jan 2016
|
|
No additional comments posted.
|
|
Binary options
|
Autorité des marchés financiers |
Quebec
|
20160127
27 Jan 2016
|
|
Promises of easy money by trading in binary options via websites: The Autorité des marchés financiers (the "AMF") is sounding the alarm and urging Québec consumers to stay clear of such scams.
|
|
Swiss Credit Union PLC
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160127
27 Jan 2016
|
|
No additional comments posted.
|
|
Klarman Securities
|
Securities and Futures Commission |
Hong Kong
|
20160126
26 Jan 2016
|
|
No additional comments posted.
|
|
Depix Holdings Limited operating as LBinary doing business as www.lbinary.com
|
Ontario Securities Commission |
Ontario
|
20160125
25 Jan 2016
|
|
Depix Holdings Limited operating as LBinary doing business as www.lbinary.com, is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securit
more
|
|
Sumo Forex Limited operating as BinaryTilt
|
Ontario Securities Commission |
Ontario
|
20160125
25 Jan 2016
|
|
Sumo Forex Limited is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
The Illuminated Bottling Company
|
Ontario Securities Commission |
Ontario
|
20160122
22 Jan 2016
|
|
The Illuminated Bottling Company is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Mannex Global Corp LLC
|
Financial Conduct Authority |
United Kingdom
|
20160122
22 Jan 2016
|
|
No additional comments posted.
|
|
Sampson Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20160122
22 Jan 2016
|
|
No additional comments posted.
|
|
Smart FX Online
|
British Columbia Securities Commission |
British Columbia
|
20160121
21 Jan 2016
|
|
No additional comments posted.
|
|
Prosper Trade FX
|
Ontario Securities Commission |
Ontario
|
20160121
21 Jan 2016
|
|
Prosper Trade FX is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
ProfitSamler
|
Danish Financial Supervisory Authority |
Denmark
|
20160120
20 Jan 2016
|
|
The Danish Financial Supervisory Authority has been informed that ProfitSamler has offered to carry out financial services. The company's address is unknown, but the company's homepage is www.profit-samler.com
|
|
FX Protrade Company
|
Czech National Bank |
Czech Republic
|
20160120
20 Jan 2016
|
|
The Czech National Bank wishes to point out that FX Protrade Company, which is offering platforms for trading in various investment instruments (such as foreign currency and binary options) on the http://fxprotrade.com website and which uses an accou
more
|
|
HTTPS://WWW.CITRADES.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160120
20 Jan 2016
|
|
No additional comments posted.
|
|
HTTP://WWW.TRADERFXCAPITAL.COM/
|
Comisión Nacional del Mercado de Valores |
Spain
|
20160120
20 Jan 2016
|
|
No additional comments posted.
|
|
Kirkwood Global
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20160119
19 Jan 2016
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
KMJ Limited
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20160119
19 Jan 2016
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Right Capital Services
|
Financial Conduct Authority |
United Kingdom
|
20160118
18 Jan 2016
|
|
No additional comments posted.
|
|
Detafunds
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160118
18 Jan 2016
|
|
No additional comments posted.
|
|
Victorious PLC
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160118
18 Jan 2016
|
|
No additional comments posted.
|
|
www.scheichfinanzservice.com sowie www.launtonwealth.com
|
Financial Market Authority |
Austria
|
20160118
18 Jan 2016
|
|
No additional comments posted.
|
|
Sherman Consultancy Group
|
Financial Conduct Authority |
United Kingdom
|
20160118
18 Jan 2016
|
|
No additional comments posted.
|
|
Winton
|
Financial Conduct Authority |
United Kingdom
|
20160118
18 Jan 2016
|
|
Clone of FCA Authorised firm
|
|
JJ Bauer Asset Management
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20160115
15 Jan 2016
|
|
No additional comments posted.
|
|
Hans Bernauer
|
Securities and Futures Commission |
Hong Kong
|
20160115
15 Jan 2016
|
|
No additional comments posted.
|
|
QMI Financial
|
Securities and Futures Commission |
Hong Kong
|
20160115
15 Jan 2016
|
|
No additional comments posted.
|
|
Adams & Taylor Group Ltd
|
Autorité des marchés financiers |
Quebec
|
20160114
14 Jan 2016
|
|
Although Québec investors do not seem to have been targeted by the solicitations, the company claims to be incorporated in Québec and could offer financial products and services, including securities.
|
|
SIBS Brokers
|
Financial Market Authority |
Austria
|
20160113
13 Jan 2016
|
|
No additional comments posted.
|
|
www.mleopoldandpartners.com
|
Financial Market Authority |
Austria
|
20160113
13 Jan 2016
|
|
No additional comments posted.
|
|
Bank Business Angel
|
Financial Market Authority |
Austria
|
20160113
13 Jan 2016
|
|
No additional comments posted.
|
|
PB Standard Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160111
11 Jan 2016
|
|
No additional comments posted.
|
|
Prusik
|
Financial Conduct Authority |
United Kingdom
|
20160108
08 Jan 2016
|
|
Clone of an FCA aauthorised Firm.
|
|
Kramer & Associates Management LLC
|
Financial Conduct Authority |
United Kingdom
|
20160107
07 Jan 2016
|
|
No additional comments posted.
|
|
Blue Lion S.A.
|
Polish Financial Supervision Authority |
Poland
|
20160107
07 Jan 2016
|
|
No additional comments posted.
|
|
Empire Option
|
Comissão de Valores Mobiliários |
Brazil
|
20160106
06 Jan 2016
|
|
Unauthorized offering of investment opportunities through the page https://www.empireoption.com
|
|
Wallis Partridge
|
Securities and Futures Commission |
Hong Kong
|
20160106
06 Jan 2016
|
|
No additional comments posted.
|
|
Bristol Financial Offshore operating as Bristol Offshore
|
Ontario Securities Commission |
Ontario
|
20160105
05 Jan 2016
|
|
Bristol Financial Offshore operating as Bristol Offshore doing business as www.bristoloffshore.com, is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buyi
more
|
|
Integra Option
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20160105
05 Jan 2016
|
|
No additional comments posted.
|
|
Kansai & Partners
|
Financial Conduct Authority |
United Kingdom
|
20160105
05 Jan 2016
|
|
No additional comments posted.
|
|
EuroFinance Group
|
Financial Market Authority |
Austria
|
20160104
04 Jan 2016
|
|
No additional comments posted.
|
|
Maxxtrade
|
Financial Market Authority |
Austria
|
20160104
04 Jan 2016
|
|
No additional comments posted.
|
|
www.jj-bauer.com
|
Financial Market Authority |
Austria
|
20160104
04 Jan 2016
|
|
No additional comments posted.
|
|
Paams Funding Inc. sowie PFG Services
|
Financial Market Authority |
Austria
|
20160104
04 Jan 2016
|
|
No additional comments posted.
|
|
VOTH NIXON GROUP
|
Financial Market Authority |
Austria
|
20160104
04 Jan 2016
|
|
No additional comments posted.
|
|
DIREKT EASY KREDIT
|
Financial Market Authority |
Austria
|
20160104
04 Jan 2016
|
|
No additional comments posted.
|
|
Werte Consulting AG
|
Financial Market Authority |
Austria
|
20160104
04 Jan 2016
|
|
No additional comments posted.
|
|
Private Placement Associates
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151230
30 Dec 2015
|
|
No additional comments posted.
|
|
Schmidt & Hammond
|
British Columbia Securities Commission |
British Columbia
|
20151223
23 Dec 2015
|
|
No additional comments posted.
|
|
Bridgewater Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20151223
23 Dec 2015
|
|
No additional comments posted.
|
|
A.I.M. Corporation Limited
|
Securities and Futures Commission |
Hong Kong
|
20151223
23 Dec 2015
|
|
No additional comments posted.
|
|
Capstone Currency Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151222
22 Dec 2015
|
|
No additional comments posted.
|
|
Capstone Traders
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151222
22 Dec 2015
|
|
No additional comments posted.
|
|
Belmont Financial Group
|
Securities and Futures Commission |
Hong Kong
|
20151222
22 Dec 2015
|
|
No additional comments posted.
|
|
Peterson Group
|
Financial Conduct Authority |
United Kingdom
|
20151221
21 Dec 2015
|
|
No additional comments posted.
|
|
Stonebridge Securities
|
Securities and Futures Commission |
Hong Kong
|
20151221
21 Dec 2015
|
|
No additional comments posted.
|
|
DSMG Limited doing business as Binarybrokerz
|
Ontario Securities Commission |
Ontario
|
20151218
18 Dec 2015
|
|
DSMG Limited doing business as binarybrokerz.com and brokerz-affiliates.com) is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securitie
more
|
|
Redtulips Consultants Ltd. doing business as Redwood Binary Options
|
Ontario Securities Commission |
Ontario
|
20151218
18 Dec 2015
|
|
Redtulips Consultants Ltd. doing business as Redwood Binary Options (www.redwoodoptions.com) is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or s
more
|
|
Fabbeck Bank plc
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20151218
18 Dec 2015
|
|
No additional comments posted.
|
|
Plan B and BourseBinaire.fr
|
Autorité des marchés financiers |
France
|
20151218
18 Dec 2015
|
|
The Autorité des marchés financiers (AMF), the Autorité de contrôle prudentiel et de résolution (ACPR), and the French General Directorate for Competition Policy, Consumer Affairs and Fraud Control (DGCCRF) have published a joint alert concerning a n
more
|
|
- Shinshiro International and Brilliant Sheen Limited- Tenjin & Associates- Voth Nixon Group
|
Financial Services and Markets Authority |
Belgium
|
20151217
17 Dec 2015
|
|
warning boiler rooms
|
|
- Condor Capital Management, Advanced Global Securities Corporation (AGS Corporation) (cloned firm), CCMGT Management Consultancy and CME Global Corporation- Cunningham Mutual- Manniworth Co Ltd, Elantra Ltd and Deniver Ltd- Prestige Equity and Pro-Nice L
|
Financial Services and Markets Authority |
Belgium
|
20151217
17 Dec 2015
|
|
warning boiler room
|
|
- AEG Financial and Pro-Nice Limited - Bayside Financial Services and Pro-Nice Limited- Belmont Financial Group- Capital Precision Belgium- Clewis Financial and Aoguan HongKong CO., Limited
|
Financial Services and Markets Authority |
Belgium
|
20151217
17 Dec 2015
|
|
warning boiler rooms
|
|
Melbinger Leopold and Partners
|
Financial Conduct Authority |
United Kingdom
|
20151216
16 Dec 2015
|
|
Clone of EEA authorised firm
|
|
Elan Financial Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20151216
16 Dec 2015
|
|
No additional comments posted.
|
|
Dirk Swinnen/ DS Trading
|
Financial Conduct Authority |
United Kingdom
|
20151215
15 Dec 2015
|
|
Clone of EEA authorised firm
|
|
Unit FX
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151215
15 Dec 2015
|
|
No additional comments posted.
|
|
Capital Trade House
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20151215
15 Dec 2015
|
|
No additional comments posted.
|
|
Smart investment Group
|
Securities and Futures Commission |
Hong Kong
|
20151214
14 Dec 2015
|
|
No additional comments posted.
|
|
Smart Trading Signals LLC
|
Securities and Futures Commission |
Hong Kong
|
20151214
14 Dec 2015
|
|
No additional comments posted.
|
|
JJ Bauer Asset Management / JJ Bauer Equity Research
|
Financial Conduct Authority |
United Kingdom
|
20151214
14 Dec 2015
|
|
Clone of EEA Authorised Firm.
|
|
A & L Royal Finance
|
Ontario Securities Commission |
Ontario
|
20151210
10 Dec 2015
|
|
A & L Royal Finance doing business as www.alrf.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
EQMC Europe Development Capital Fund
|
Financial Conduct Authority |
United Kingdom
|
20151210
10 Dec 2015
|
|
Clone of EEA authorised firm
|
|
Global Sun Solutions
|
Securities and Futures Commission |
Hong Kong
|
20151210
10 Dec 2015
|
|
No additional comments posted.
|
|
Thomas & Lynch Inc
|
Securities and Futures Commission |
Hong Kong
|
20151209
09 Dec 2015
|
|
No additional comments posted.
|
|
Rockwell Escrow Services
|
Securities and Futures Commission |
Hong Kong
|
20151209
09 Dec 2015
|
|
No additional comments posted.
|
|
Kowloon Global Wealth Management
|
Securities and Futures Commission |
Hong Kong
|
20151208
08 Dec 2015
|
|
No additional comments posted.
|
|
津元國際 (Chinese name only)
|
Securities and Futures Commission |
Hong Kong
|
20151208
08 Dec 2015
|
|
No additional comments posted.
|
|
Private Partners & Associates
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151208
08 Dec 2015
|
|
No additional comments posted.
|
|
Standard Chartered Mutual Services
|
Financial Conduct Authority |
United Kingdom
|
20151204
04 Dec 2015
|
|
Clone of an FCA Authorised Firm.
|
|
Algo Banque
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151204
04 Dec 2015
|
|
No additional comments posted.
|
|
BLS Capital
|
Danish Financial Supervisory Authority |
Denmark
|
20151202
02 Dec 2015
|
|
The Danish Financial Supervisory Authority has been informed that unauthorized persons are claiming to be BLS Capital Fondsmæglerselskab A/S. These persons use the name BLS Capital.
|
|
DE URRUTIA GROUP HOLDING
|
Comisión Nacional del Mercado de Valores |
Spain
|
20151202
02 Dec 2015
|
|
No additional comments posted.
|
|
Kerford Investments (HK) Limited
|
Securities and Futures Commission |
Hong Kong
|
20151202
02 Dec 2015
|
|
No additional comments posted.
|
|
KFM Investment Group
|
Ontario Securities Commission |
Ontario
|
20151201
01 Dec 2015
|
|
KFM Investment Group is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Hans Bernauer / HB Trading
|
Financial Conduct Authority |
United Kingdom
|
20151127
27 Nov 2015
|
|
Clone of EEA Authorised Firm
|
|
Graphene Sensors Inc.
|
British Columbia Securities Commission |
British Columbia
|
20151126
26 Nov 2015
|
|
No additional comments posted.
|
|
Update on websites offering binary options trading
|
Autorité des marchés financiers |
France
|
20151126
26 Nov 2015
|
|
The AMF is publishing an update to its list of unauthorised websites offering binary options trading. This list contains the newly identified websites; while the complete list is available via a link at the bottom of the PDF.
|
|
TradeSolid
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151126
26 Nov 2015
|
|
No additional comments posted.
|
|
Yunnan Guochen Investment Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20151126
26 Nov 2015
|
|
No additional comments posted.
|
|
Private Partners & Associates
|
Danish Financial Supervisory Authority |
Denmark
|
20151125
25 Nov 2015
|
|
The Danish Financial Supervisory Authority has been informed that Private Partners & Associates unsolicited has offered to carry out financial services. The company's address is allegedly Lyngbyvej 20, 2100 Copenhagen, Denmark.
|
|
Hartvig Invest
|
Danish Financial Supervisory Authority |
Denmark
|
20151125
25 Nov 2015
|
|
The Danish Financial Supervisory Authority has been informed that Hartvig Invest unsolicited has of-fered to carry out financial services in Denmark. The company's address is Via Cademario 99, CH-6935, Bosco Luganese, Lugano, Switzerland.
more
|
|
van Buren Investment Inc
|
Financial Market Authority |
Austria
|
20151125
25 Nov 2015
|
|
No additional comments posted.
|
|
www.hansbernauer.com
|
Financial Market Authority |
Austria
|
20151125
25 Nov 2015
|
|
No additional comments posted.
|
|
Capital Precision
|
Financial Market Authority |
Austria
|
20151125
25 Nov 2015
|
|
No additional comments posted.
|
|
Synergy Acquisitions Inc
|
Securities and Futures Commission |
Hong Kong
|
20151125
25 Nov 2015
|
|
No additional comments posted.
|
|
Grand Pacific Equity Limited
|
Securities and Futures Commission |
Hong Kong
|
20151125
25 Nov 2015
|
|
No additional comments posted.
|
|
Hong Yu International
|
Securities and Futures Commission |
Hong Kong
|
20151125
25 Nov 2015
|
|
No additional comments posted.
|
|
Brooks and Fisher Associates
|
Financial Conduct Authority |
United Kingdom
|
20151124
24 Nov 2015
|
|
No additional comments posted.
|
|
INRIS UCITS Fund PLC (Clone of a FCA Schedule 5 Firm)
|
Financial Conduct Authority |
United Kingdom
|
20151124
24 Nov 2015
|
|
No additional comments posted.
|
|
HK Eastern Culture Property Exchange Co., Limited
|
Securities and Futures Commission |
Hong Kong
|
20151124
24 Nov 2015
|
|
No additional comments posted.
|
|
Peston & Sons Securities
|
Securities and Futures Commission |
Hong Kong
|
20151124
24 Nov 2015
|
|
No additional comments posted.
|
|
Motoyagi and Associates
|
Central Bank of Ireland |
Ireland
|
20151123
23 Nov 2015
|
|
Motoyagi and Associates is not authorised to provide investment services to persons in Ireland. The firm purports to be based in Japan.
|
|
Carter Flanagan Ltd
|
Financial Conduct Authority |
United Kingdom
|
20151123
23 Nov 2015
|
|
No additional comments posted.
|
|
Labanna Capital Management
|
Danish Financial Supervisory Authority |
Denmark
|
20151120
20 Nov 2015
|
|
The Danish Financial Supervisory Authority has been informed that Labanna Capital Management has offered to carry out financial services. The company's address is allegedly Rådhuspladsen 16, 1550 Copenhagen, Denmark and the company's homepage is www.
more
|
|
RK Trading / Roland Kemeny
|
Financial Conduct Authority |
United Kingdom
|
20151120
20 Nov 2015
|
|
Clone of EEA authorised firm
|
|
Guardian Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20151119
19 Nov 2015
|
|
No additional comments posted.
|
|
China Emerald Consulting
|
Central Bank of Ireland |
Ireland
|
20151118
18 Nov 2015
|
|
China Emerald Consulting is not authorised to provide investment services to persons in Ireland. The firm purports to be based in China and Hong Kong.
|
|
Asia Pacific Limited
|
Securities and Futures Commission |
Hong Kong
|
20151118
18 Nov 2015
|
|
No additional comments posted.
|
|
Capstone Securities
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151117
17 Nov 2015
|
|
No additional comments posted.
|
|
Capstone FX Europe
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151117
17 Nov 2015
|
|
No additional comments posted.
|
|
Patience Providence
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151116
16 Nov 2015
|
|
No additional comments posted.
|
|
Oak Tree Financials
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151116
16 Nov 2015
|
|
No additional comments posted.
|
|
Aztec Group
|
Finansinspektionen |
Sweden
|
20151116
16 Nov 2015
|
|
No additional comments posted.
|
|
Capstone Securities
|
Central Bank of Ireland |
Ireland
|
20151113
13 Nov 2015
|
|
Capstone Securities is not authorised to provide investment services to persons in Ireland. The firm purports to be based in The Netherlands and Switzerland.
|
|
Whitaker Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20151113
13 Nov 2015
|
|
No additional comments posted.
|
|
Norvell Associates
|
Securities and Futures Commission |
Hong Kong
|
20151113
13 Nov 2015
|
|
No additional comments posted.
|
|
Fund Access Limited
|
Securities and Futures Commission |
Hong Kong
|
20151113
13 Nov 2015
|
|
No additional comments posted.
|
|
Carnegie Asset Management Limited
|
Danish Financial Supervisory Authority |
Denmark
|
20151112
12 Nov 2015
|
|
The Danish Financial Supervisory Authority has been informed that unauthorized persons are claiming to be the Danish investment firm Carnegie Asset Management Fondsmæglerselskab A/S, which is under supervision in Denmark. These persons use the name C
more
|
|
Hammond Capital
|
Securities and Futures Commission |
Hong Kong
|
20151112
12 Nov 2015
|
|
No additional comments posted.
|
|
Bancde Options
|
Securities and Futures Commission |
Hong Kong
|
20151106
06 Nov 2015
|
|
No additional comments posted.
|
|
Patience Providence
|
Securities and Futures Commission |
Hong Kong
|
20151106
06 Nov 2015
|
|
No additional comments posted.
|
|
Yang Chen Associates/ Yang Cheng Associates
|
Securities and Futures Commission |
Hong Kong
|
20151106
06 Nov 2015
|
|
No additional comments posted.
|
|
Chelestra Limited operating as LBinary
|
Ontario Securities Commission |
Ontario
|
20151105
05 Nov 2015
|
|
Chelestra Limited operating as LBinary doing business as lbinary.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Hinsley Ford
|
Ontario Securities Commission |
Ontario
|
20151105
05 Nov 2015
|
|
Hinsley Ford doing business as www.hinsleyford.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Thungen Financial
|
Finansinspektionen |
Sweden
|
20151105
05 Nov 2015
|
|
No additional comments posted.
|
|
Norikura Global
|
Finansinspektionen |
Sweden
|
20151105
05 Nov 2015
|
|
No additional comments posted.
|
|
Tenjin & Associate
|
Financial Conduct Authority |
United Kingdom
|
20151105
05 Nov 2015
|
|
No additional comments posted.
|
|
Osaka Corp
|
Financial Market Authority |
Austria
|
20151105
05 Nov 2015
|
|
No additional comments posted.
|
|
Shinshiro International
|
Financial Market Authority |
Austria
|
20151105
05 Nov 2015
|
|
No additional comments posted.
|
|
South America Real Estate Group Europe Ltd.
|
Financial Market Authority |
Austria
|
20151105
05 Nov 2015
|
|
No additional comments posted.
|
|
Aldrich Limited Mergers & Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20151103
03 Nov 2015
|
|
No additional comments posted.
|
|
Brixton Business Consultants
|
Financial Conduct Authority |
United Kingdom
|
20151030
30 Oct 2015
|
|
No additional comments posted.
|
|
Etablissement de Financement Immobilier
|
Financial Market Authority |
Austria
|
20151030
30 Oct 2015
|
|
No additional comments posted.
|
|
Peston & Sons Securities
|
Financial Market Authority |
Austria
|
20151030
30 Oct 2015
|
|
No additional comments posted.
|
|
Schrodersgroup
|
Securities and Futures Commission |
Hong Kong
|
20151030
30 Oct 2015
|
|
No additional comments posted.
|
|
Bayside Financial Services
|
Securities and Futures Commission |
Hong Kong
|
20151030
30 Oct 2015
|
|
No additional comments posted.
|
|
Towog Group GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151029
29 Oct 2015
|
|
No additional comments posted.
|
|
Onca Treuhand
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151029
29 Oct 2015
|
|
No additional comments posted.
|
|
Cash Investment GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151029
29 Oct 2015
|
|
No additional comments posted.
|
|
HongKong Tooptions Limited
|
Securities and Futures Commission |
Hong Kong
|
20151029
29 Oct 2015
|
|
No additional comments posted.
|
|
TraderPro
|
Comissão de Valores Mobiliários |
Brazil
|
20151027
27 Oct 2015
|
|
Unauthorized to offer or indicate other sites that provide investment opportunities in the Forex market to Brazilian residents by any means (online or other) through the website: http://www.traderpro.com.br
|
|
Higashi and Partners
|
Financial Conduct Authority |
United Kingdom
|
20151027
27 Oct 2015
|
|
No additional comments posted.
|
|
Langford Consulting
|
Financial Conduct Authority |
United Kingdom
|
20151027
27 Oct 2015
|
|
No additional comments posted.
|
|
Daishi Capital International Wealth Management
|
Securities and Futures Commission |
Hong Kong
|
20151027
27 Oct 2015
|
|
No additional comments posted.
|
|
ORIENT Strategies AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151023
23 Oct 2015
|
|
No additional comments posted.
|
|
Strategic Asset Management Limited
|
Central Bank of Ireland |
Ireland
|
20151022
22 Oct 2015
|
|
Strategic Asset Management Limited is not authorised to provide investment services to persons in Ireland. The firm purports to be based in Ireland.
|
|
AEG Financial
|
Securities and Futures Commission |
Hong Kong
|
20151019
19 Oct 2015
|
|
No additional comments posted.
|
|
CMIS Global Limited / CMIS Trader
|
Securities and Futures Commission |
Hong Kong
|
20151019
19 Oct 2015
|
|
No additional comments posted.
|
|
Whitehall Capital Group
|
Securities and Futures Commission |
Hong Kong
|
20151019
19 Oct 2015
|
|
No additional comments posted.
|
|
Prestige Equity
|
Securities and Futures Commission |
Hong Kong
|
20151019
19 Oct 2015
|
|
No additional comments posted.
|
|
Luma Group Ltd
|
Securities and Futures Commission |
Hong Kong
|
20151019
19 Oct 2015
|
|
No additional comments posted.
|
|
The Sterling Group International
|
Securities and Futures Commission |
Hong Kong
|
20151019
19 Oct 2015
|
|
No additional comments posted.
|
|
MG Wealth Advisors
|
Securities and Futures Commission |
Hong Kong
|
20151019
19 Oct 2015
|
|
No additional comments posted.
|
|
Whitaker Corporate Partners
|
Central Bank of Ireland |
Ireland
|
20151016
16 Oct 2015
|
|
Whitaker Corporate Partners is not authorised to provide investment services to persons in Ireland. The firm purports to be based in the USA.
|
|
TRM GROUP
|
Financial Conduct Authority |
United Kingdom
|
20151015
15 Oct 2015
|
|
No additional comments posted.
|
|
Oak Tree Finance / Oak Tree Financials
|
Financial Conduct Authority |
United Kingdom
|
20151015
15 Oct 2015
|
|
No additional comments posted.
|
|
Rich Ventures Ltd. operating as EveryOption
|
Ontario Securities Commission |
Ontario
|
20151013
13 Oct 2015
|
|
Rich Ventures Ltd. operating as EveryOption doing business as EveryOption.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securiti
more
|
|
Market City International SRL operating as TNT Options
|
Ontario Securities Commission |
Ontario
|
20151013
13 Oct 2015
|
|
Market City International SRL operating as TNT Options doing business as www.tntoptions.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or se
more
|
|
Chester Harris & Co Inc
|
Financial Conduct Authority |
United Kingdom
|
20151013
13 Oct 2015
|
|
No additional comments posted.
|
|
Asia Pacific Ltd (cloned firm) - - Axel Neumann (cloned firm), AXN Trading and Eventus Alternatives Commercial Broker LLC - - Brandt-Swift Associates, Kingsburg Inc Ltd, Mutual Hope Ltd, Grandwic Ltd and Mestoz Ltd -- Greenberg International Law & Tax Ad
|
Financial Services and Markets Authority |
Belgium
|
20151013
13 Oct 2015
|
|
warning 'boiler rooms'
|
|
Take off Consulting AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151013
13 Oct 2015
|
|
No additional comments posted.
|
|
Excellence Financial AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151013
13 Oct 2015
|
|
No additional comments posted.
|
|
1A-CREDIT-now AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151013
13 Oct 2015
|
|
No additional comments posted.
|
|
Adams & Taylor Group Ltd
|
Financial Conduct Authority |
United Kingdom
|
20151012
12 Oct 2015
|
|
No additional comments posted.
|
|
McMillan Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20151009
09 Oct 2015
|
|
No additional comments posted.
|
|
Belmont Capital New York/ Belmont Capital Holdings
|
Financial Conduct Authority |
United Kingdom
|
20151009
09 Oct 2015
|
|
No additional comments posted.
|
|
Perkins Consultancy Group
|
Financial Conduct Authority |
United Kingdom
|
20151008
08 Oct 2015
|
|
No additional comments posted.
|
|
Sterling Capital Inc.
|
Ontario Securities Commission |
Ontario
|
20151008
08 Oct 2015
|
|
Sterling Capital Inc. doing business as http://lionix.info/sterlingcapital/email02/01 is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling
more
|
|
Temple Crown International
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151008
08 Oct 2015
|
|
No additional comments posted.
|
|
MP Officium
|
Czech National Bank |
Czech Republic
|
20151007
07 Oct 2015
|
|
The Czech National Bank wishes to point out that MP Officium, s.r.o., Company ID 47 046 813, having its registered address at Hliny 2560/235, 017 07 Považská Bystrica, Slovak Republic, which is offering FOREX trading via https://zimmilo.com/cs/, has
more
|
|
Guard Capital AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151006
06 Oct 2015
|
|
No additional comments posted.
|
|
Hedges Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20151005
05 Oct 2015
|
|
No additional comments posted.
|
|
Campbell & Partners Ltd
|
Financial Conduct Authority |
United Kingdom
|
20151005
05 Oct 2015
|
|
No additional comments posted.
|
|
Kenmar Securities LP/ Kenmar Securities
|
Financial Conduct Authority |
United Kingdom
|
20151002
02 Oct 2015
|
|
No additional comments posted.
|
|
Cooper & Brown Associates
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20151001
01 Oct 2015
|
|
No additional comments posted.
|
|
Axis Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20151001
01 Oct 2015
|
|
No additional comments posted.
|
|
Maxwell Financial Services
|
Financial Market Authority |
Austria
|
20151001
01 Oct 2015
|
|
No additional comments posted.
|
|
Global Financial Protection Commission
|
Financial Market Authority |
Austria
|
20151001
01 Oct 2015
|
|
No additional comments posted.
|
|
Greenwood Bank PLC/Greenwood Online Bank PLC
|
Financial Market Authority |
Austria
|
20151001
01 Oct 2015
|
|
No additional comments posted.
|
|
OptiCrown
|
British Columbia Securities Commission |
British Columbia
|
20150930
30 Sep 2015
|
|
No additional comments posted.
|
|
AT Brokers
|
Financial Conduct Authority |
United Kingdom
|
20150930
30 Sep 2015
|
|
Clone of EEA authorised firm
|
|
Bohemia Partners
|
Czech National Bank |
Czech Republic
|
20150930
30 Sep 2015
|
|
The Czech National Bank wishes to point out activities of Bohemia Partners and Bohemia Partners One Ltd., contact address PO Box 257, Jonson Jones Building, Government Road, Charlestown, Nevis, West Indies. The said companies are offering, among othe
more
|
|
LOCAL INVEST PARTNER, B.V.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150930
30 Sep 2015
|
|
No additional comments posted.
|
|
GTOPTIONS.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150930
30 Sep 2015
|
|
No additional comments posted.
|
|
B4OPTION.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150930
30 Sep 2015
|
|
No additional comments posted.
|
|
Temple Crown International
|
Financial Conduct Authority |
United Kingdom
|
20150929
29 Sep 2015
|
|
No additional comments posted.
|
|
- Mayfair Funds (Myfair 23), Highfrequency, Trading Company and Sep Society
|
Financial Services and Markets Authority |
Belgium
|
20150929
29 Sep 2015
|
|
warning 'Binary Options and Forex Products'
|
|
United Tax Consulting Limited
|
Finansinspektionen |
Sweden
|
20150928
28 Sep 2015
|
|
No additional comments posted.
|
|
The Law Office of John S Martin
|
Finansinspektionen |
Sweden
|
20150928
28 Sep 2015
|
|
No additional comments posted.
|
|
Weinstein Acquisitions / Offshore Equities Regulation Department
|
Finansinspektionen |
Sweden
|
20150928
28 Sep 2015
|
|
No additional comments posted.
|
|
J & B Groupe
|
Autorité des marchés financiers |
France
|
20150928
28 Sep 2015
|
|
This firm alleges to be working with the AMF’s Ombudsman to help victims of fraudulent investment schemes recuperate their money
|
|
Update on websites offering binary options trading
|
Autorité des marchés financiers |
France
|
20150925
25 Sep 2015
|
|
This warning is an update of the list of unauthorized websites offering binary option trading
|
|
LigneX
|
Autorité des marchés financiers |
Quebec
|
20150925
25 Sep 2015
|
|
The Autorité des marchés financiers (the "AMF") is warning Québec investors about recent on-line ads encouraging them to purchase shares of the company LigneX. AMF verifications revealed that a third party had illegally used the name of the French co
more
|
|
PRO EASY CREDIT
|
Financial Market Authority |
Austria
|
20150925
25 Sep 2015
|
|
No additional comments posted.
|
|
Algo Capitals Limited
|
Ontario Securities Commission |
Ontario
|
20150924
24 Sep 2015
|
|
Algo Capitals Limited doing business as algocapitals.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
OptionFX
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150924
24 Sep 2015
|
|
No additional comments posted.
|
|
SWISSOR SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150924
24 Sep 2015
|
|
No additional comments posted.
|
|
Baxter Capital Ventures Management
|
Finansinspektionen |
Sweden
|
20150923
23 Sep 2015
|
|
No additional comments posted.
|
|
Insight Trading Group
|
Finansinspektionen |
Sweden
|
20150923
23 Sep 2015
|
|
No additional comments posted.
|
|
Dumont Private Equity
|
Finansinspektionen |
Sweden
|
20150923
23 Sep 2015
|
|
No additional comments posted.
|
|
NextPayMoney.com
|
Ontario Securities Commission |
Ontario
|
20150922
22 Sep 2015
|
|
NextPayMoney.com doing business as www.nextpaymoney.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
A&L Royal Finance Inc.
|
Autorité des marchés financiers |
Quebec
|
20150922
22 Sep 2015
|
|
This foreign company, whose existence could not be confirmed through the verifications conducted by the AMF cybersurveillance team, claims to have offices in Québec and in other provinces of Canada.
|
|
Eurokasse New Zealand Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150921
21 Sep 2015
|
|
No additional comments posted.
|
|
Forex Consulting GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150921
21 Sep 2015
|
|
No additional comments posted.
|
|
Ouroboros Derivatives Trading Ltd.
|
Ontario Securities Commission |
Ontario
|
20150917
17 Sep 2015
|
|
Ouroboros Derivatives Trading Ltd. doing business as www.anyoption.ca and www.anyoption.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or se
more
|
|
Anyoption Ltd., Anyoption Payment Services Ltd. and/or Anyoption Holdings
|
Ontario Securities Commission |
Ontario
|
20150917
17 Sep 2015
|
|
Anyoption Ltd., Anyoption Payment Services Ltd. and/or Anyoption Holdings Limited doing business as www.anyoption.ca and www.anyoption.com are not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising a
more
|
|
Broker Capital (Belize) Limited (formerly Island Bay Services Limited)
|
Ontario Securities Commission |
Ontario
|
20150917
17 Sep 2015
|
|
Broker Capital (Belize) Limited (formerly Island Bay Services Limited) doing business as www.brokercapital.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investi
more
|
|
SpotFN, LLC
|
Ontario Securities Commission |
Ontario
|
20150917
17 Sep 2015
|
|
SpotFN, LLC, doing business as http://spotfn.com, and http://www.qa.spotfn.com, is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securi
more
|
|
Duval Capital & Asset Management Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150917
17 Sep 2015
|
|
No additional comments posted.
|
|
GLOBAL MARKETS LTD (INTERACTIVE COMPANY LTD)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150916
16 Sep 2015
|
|
No additional comments posted.
|
|
BROKER GROUP / BROKER CAPITAL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150916
16 Sep 2015
|
|
No additional comments posted.
|
|
BROKER CAPITAL (BELIZE)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150916
16 Sep 2015
|
|
No additional comments posted.
|
|
Safecap Investments Limited
|
Comissão de Valores Mobiliários |
Brazil
|
20150915
15 Sep 2015
|
|
Unauthorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other) through the websites:
more
|
|
Peston & Sons Securities, Jones Shaw Capital Partners, Neuberger and Co. Wealth Management, Arian Financial (cloned firm), Dashan International and Norikura-Global, Seattle Mercantile Exchange and Dalerich Ltd
|
Financial Services and Markets Authority |
Belgium
|
20150915
15 Sep 2015
|
|
warning 'boiler rooms'
|
|
Original-Kreditbox AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150915
15 Sep 2015
|
|
No additional comments posted.
|
|
Unauthorised websites offering binary options
|
Autorité des marchés financiers |
France
|
20150914
14 Sep 2015
|
|
The AMF has published an updated list of unauthorised websites offering binary options trading.
|
|
Baker Finch Partnership
|
Financial Conduct Authority |
United Kingdom
|
20150914
14 Sep 2015
|
|
No additional comments posted.
|
|
Cooper & Brown
|
Financial Conduct Authority |
United Kingdom
|
20150914
14 Sep 2015
|
|
No additional comments posted.
|
|
Foster Dunn & Associates
|
Financial Conduct Authority |
United Kingdom
|
20150914
14 Sep 2015
|
|
No additional comments posted.
|
|
Jefferson Philips
|
Financial Conduct Authority |
United Kingdom
|
20150914
14 Sep 2015
|
|
No additional comments posted.
|
|
BANK CAPITAL-INVESTMENT MANAGEMENT
|
Financial Services Commission |
Mauritius
|
20150911
11 Sep 2015
|
|
No additional comments posted.
|
|
Warren Global Group
|
Securities and Futures Commission |
Hong Kong
|
20150907
07 Sep 2015
|
|
No additional comments posted.
|
|
Nicolas Adamides / NA Trading
|
Financial Conduct Authority |
United Kingdom
|
20150901
01 Sep 2015
|
|
Clone of EEA authorised firm
|
|
Original-Kreditbox AG Ltd.
|
Financial Market Authority |
Austria
|
20150831
31 Aug 2015
|
|
No additional comments posted.
|
|
1A-CREDIT-now AG Ltd.
|
Financial Market Authority |
Austria
|
20150831
31 Aug 2015
|
|
No additional comments posted.
|
|
Sony Online Investment
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150827
27 Aug 2015
|
|
No additional comments posted.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20150826
26 Aug 2015
|
|
Unauthorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
IRONFX
|
Comissão de Valores Mobiliários |
Brazil
|
20150826
26 Aug 2015
|
|
Unauthorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
more
|
|
Markets.com
|
Comissão de Valores Mobiliários |
Brazil
|
20150825
25 Aug 2015
|
|
Unauthorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
more
|
|
Tilney Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20150824
24 Aug 2015
|
|
Clone of FCA authorised firm
|
|
Credence Financial Earnings Ltd
|
Financial Conduct Authority |
United Kingdom
|
20150824
24 Aug 2015
|
|
Clone of FCA authorised firm
|
|
Henderson Global Trading
|
Financial Conduct Authority |
United Kingdom
|
20150824
24 Aug 2015
|
|
No additional comments posted.
|
|
JC Sterling & Roth
|
Financial Conduct Authority |
United Kingdom
|
20150824
24 Aug 2015
|
|
No additional comments posted.
|
|
Castlerigg UCITS Funds PLC
|
Financial Conduct Authority |
United Kingdom
|
20150821
21 Aug 2015
|
|
Clone Firm
|
|
Broker Capital
|
British Columbia Securities Commission |
British Columbia
|
20150819
19 Aug 2015
|
|
No additional comments posted.
|
|
Eastern Capital Fund Ltd. Schweiz
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150819
19 Aug 2015
|
|
No additional comments posted.
|
|
Daniel Côté et 9260-0485 Québec inc.
|
Autorité des marchés financiers |
Quebec
|
20150818
18 Aug 2015
|
|
No additional comments posted.
|
|
Fortune Capital Ventures
|
Jersey Financial Services Commission |
Jersey
|
20150814
14 Aug 2015
|
|
No additional comments posted.
|
|
Larosa Group Holdings Ltd.
|
Ontario Securities Commission |
Ontario
|
20150812
12 Aug 2015
|
|
Larosa Group Holdings Ltd. operating as Larosa Group doing business as www.larosa-group.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or se
more
|
|
Fortress Holdings Ltd.
|
Polish Financial Supervision Authority |
Poland
|
20150812
12 Aug 2015
|
|
No additional comments posted.
|
|
Clear Hands Bt.
|
Polish Financial Supervision Authority |
Poland
|
20150812
12 Aug 2015
|
|
No additional comments posted.
|
|
PRIME FMS
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150812
12 Aug 2015
|
|
No additional comments posted.
|
|
DISCRETIONARY UNIT FUND MANAGERS (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20150811
11 Aug 2015
|
|
Cloning a FCA Authorised Firm
|
|
Berkley Commodity Trading Corporation
|
Ontario Securities Commission |
Ontario
|
20150810
10 Aug 2015
|
|
Berkley Commodity Trading Corporation operating as Berkleyfx doing business as www.berkleyfx.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying
more
|
|
Amber Options
|
Ontario Securities Commission |
Ontario
|
20150810
10 Aug 2015
|
|
Amber Options doing business as amberoptions.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Blue Bay Finance Ltd
|
Ontario Securities Commission |
Ontario
|
20150810
10 Aug 2015
|
|
Blue Bay Finance Ltd. doing business as Opticrown.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
HTTP://FINANCIALBINARY.COM/ES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150805
05 Aug 2015
|
|
No additional comments posted.
|
|
MAXOW CAPITAL, LTD.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150805
05 Aug 2015
|
|
No additional comments posted.
|
|
NORAPAL, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150805
05 Aug 2015
|
|
No additional comments posted.
|
|
China Merchants International Corporation
|
Jersey Financial Services Commission |
Jersey
|
20150804
04 Aug 2015
|
|
No additional comments posted.
|
|
Regium Asset Management AG
|
Polish Financial Supervision Authority |
Poland
|
20150803
03 Aug 2015
|
|
No additional comments posted.
|
|
blackpearl-asia.com
|
Jersey Financial Services Commission |
Jersey
|
20150730
30 Jul 2015
|
|
No additional comments posted.
|
|
Bradquest Ltd
|
Jersey Financial Services Commission |
Jersey
|
20150730
30 Jul 2015
|
|
No additional comments posted.
|
|
Helix Capital Investments Limited
|
Polish Financial Supervision Authority |
Poland
|
20150730
30 Jul 2015
|
|
No additional comments posted.
|
|
First Confidential Securities AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150730
30 Jul 2015
|
|
No additional comments posted.
|
|
Capital Trade House
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150729
29 Jul 2015
|
|
No additional comments posted.
|
|
UK Options
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150729
29 Jul 2015
|
|
No additional comments posted.
|
|
Nakamura Corporation
|
Financial Conduct Authority |
United Kingdom
|
20150728
28 Jul 2015
|
|
No additional comments posted.
|
|
Citigroup Investment//Citigroup Implementation Services Limited
|
Financial Conduct Authority |
United Kingdom
|
20150724
24 Jul 2015
|
|
No additional comments posted.
|
|
Global Consulting Europe
|
Financial Market Authority |
Austria
|
20150724
24 Jul 2015
|
|
No additional comments posted.
|
|
Warren Global Group
|
Financial Market Authority |
Austria
|
20150724
24 Jul 2015
|
|
No additional comments posted.
|
|
Capital Invest Europe
|
Financial Market Authority |
Austria
|
20150724
24 Jul 2015
|
|
No additional comments posted.
|
|
Kredit 2015 Kredit-X Ltd.
|
Financial Market Authority |
Austria
|
20150724
24 Jul 2015
|
|
No additional comments posted.
|
|
PrimeTime Consulting
|
Financial Market Authority |
Austria
|
20150724
24 Jul 2015
|
|
No additional comments posted.
|
|
Venture Invest PLC
|
Financial Market Authority |
Austria
|
20150724
24 Jul 2015
|
|
No additional comments posted.
|
|
Keeley Consulting
|
Danish Financial Supervisory Authority |
Denmark
|
20150724
24 Jul 2015
|
|
The Danish Financial Supervisory Authority has been informed that Keeley Consulting unsolicited has offered to carry out financial services in Denmark. The company's address is 1003 Bukit Merah Central, INNO Centre, Singapore 159836 and Lidabashi Bui
more
|
|
DW Trading
|
Financial Conduct Authority |
United Kingdom
|
20150723
23 Jul 2015
|
|
Clone of an EEA Authorised Firm
|
|
ECO FORESTRY AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150723
23 Jul 2015
|
|
No additional comments posted.
|
|
Alpha Capital Ltd
|
Financial Conduct Authority |
United Kingdom
|
20150723
23 Jul 2015
|
|
Clone of FCA authorised firm
|
|
Bulls & Bears Traders / Bulls and Bears LLC
|
British Columbia Securities Commission |
British Columbia
|
20150720
20 Jul 2015
|
|
No additional comments posted.
|
|
Nix Investment
|
Ontario Securities Commission |
Ontario
|
20150720
20 Jul 2015
|
|
Nix Investment is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Trent Offshore Int. Immobiles Inv. Management&Tourism Informations Technology ltd.
|
Financial Market Authority |
Austria
|
20150720
20 Jul 2015
|
|
No additional comments posted.
|
|
AXN Trading
|
Financial Conduct Authority |
United Kingdom
|
20150717
17 Jul 2015
|
|
Clone of an EEA Authorised Firm
|
|
UBS Wealth Management / UBS Global Wealth Management (CLONE)
|
Financial Conduct Authority |
United Kingdom
|
20150717
17 Jul 2015
|
|
Clone of an FCA Authorised firm.
|
|
Ashoka Capital Markets
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20150716
16 Jul 2015
|
|
No additional comments posted.
|
|
Norvell Associates
|
Danish Financial Supervisory Authority |
Denmark
|
20150715
15 Jul 2015
|
|
The Danish Financial Supervisory Authority has been informed that Norvell Associates unsolicited has offered to carry out financial services in Denmark. The company's address is Level 19 Royal Group Building, 3 Phillip Street, Singapore 048693. The c
more
|
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Green Seed Capital - CDH Investments - United Global Trading - Gemsasia Investments Corporation - Burton Financial Planners - Euro Asia Invest - Moss Securities - Excel Management
|
Financial Services and Markets Authority |
Belgium
|
20150714
14 Jul 2015
|
|
warning 'boiler room'
|
|
Plus Capital Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150710
10 Jul 2015
|
|
No additional comments posted.
|
|
Plustocks
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150710
10 Jul 2015
|
|
No additional comments posted.
|
|
GET Binary
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150710
10 Jul 2015
|
|
No additional comments posted.
|
|
Persons claiming to be Carnegie Asset Management Fondsmæglerselskab A/S
|
Danish Financial Supervisory Authority |
Denmark
|
20150709
09 Jul 2015
|
|
The Danish Financial Supervisory Authority has been informed that unauthorized persons are claiming to be the Danish investment firm Carnegie Asset Management Fondsmæglerselskab A/S, which is under supervision in Denmark. These persons make unauthori
more
|
|
NFT Investment Limited / Now For Tomorrow Investment Limited
|
Securities and Futures Commission |
Hong Kong
|
20150709
09 Jul 2015
|
|
No additional comments posted.
|
|
Providers of 'Binary Options' and 'Forex Products'
|
Financial Services and Markets Authority |
Belgium
|
20150707
07 Jul 2015
|
|
warning
|
|
Wells Goldman
|
Securities and Futures Commission |
Hong Kong
|
20150707
07 Jul 2015
|
|
No additional comments posted.
|
|
ALTR Alternative Fund Managers
|
Financial Conduct Authority |
United Kingdom
|
20150706
06 Jul 2015
|
|
Clone of EEA authorised firm.
|
|
PJM Tax Practice
|
Ontario Securities Commission |
Ontario
|
20150703
03 Jul 2015
|
|
PJM Tax Practice is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Capital Joy Development Limited
|
Ontario Securities Commission |
Ontario
|
20150703
03 Jul 2015
|
|
Capital Joy Development Limited is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Capstone Securities, LLC
|
Ontario Securities Commission |
Ontario
|
20150703
03 Jul 2015
|
|
Capstone Securities, LLC is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
International Asset Management Group Ltd
|
Financial Conduct Authority |
United Kingdom
|
20150703
03 Jul 2015
|
|
No additional comments posted.
|
|
Thomas Loppacher
|
Financial Conduct Authority |
United Kingdom
|
20150702
02 Jul 2015
|
|
Cloning FCA EEA Authorised Firm’s Name
|
|
www.christianmuhrhk.com
|
Financial Market Authority |
Austria
|
20150701
01 Jul 2015
|
|
No additional comments posted.
|
|
PLUS EASY CREDIT
|
Financial Market Authority |
Austria
|
20150701
01 Jul 2015
|
|
No additional comments posted.
|
|
www.schwarzoliverthomas.com
|
Financial Market Authority |
Austria
|
20150701
01 Jul 2015
|
|
No additional comments posted.
|
|
Roche Capital Partners LP
|
Financial Market Authority |
Austria
|
20150701
01 Jul 2015
|
|
No additional comments posted.
|
|
Cytron Capital Group and Petrichor Energy
|
Autorité des marchés financiers |
Quebec
|
20150630
30 Jun 2015
|
|
The Autorité des marchés financiers (the "AMF") is urging investors to exercise caution in light of recent solicitations in the Montréal area by Michael Mitton, who has repeatedly been sanctioned for making illegal distributions. Michael Mitton is cu
more
|
|
China Merchants International Corporation
|
Financial Conduct Authority |
United Kingdom
|
20150629
29 Jun 2015
|
|
No additional comments posted.
|
|
Robinson Securities LLC
|
Financial Conduct Authority |
United Kingdom
|
20150629
29 Jun 2015
|
|
No additional comments posted.
|
|
Lamberg Kapital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150626
26 Jun 2015
|
|
No additional comments posted.
|
|
WEST FINANCIAL / WEST FINANCIAL ADVISORY HOUSE
|
Financial Conduct Authority |
United Kingdom
|
20150625
25 Jun 2015
|
|
No additional comments posted.
|
|
Professional Investment Consultants
|
Financial Conduct Authority |
United Kingdom
|
20150624
24 Jun 2015
|
|
Clone of EEA Authorised Firm
|
|
NEW YORK SECURITIES BANK (NYSB)/NYSB FUND MANAGEMENT, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150624
24 Jun 2015
|
|
No additional comments posted.
|
|
JD BUSINESS CAPITAL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150624
24 Jun 2015
|
|
No additional comments posted.
|
|
Vision Financial Partners, LLC
|
Ontario Securities Commission |
Ontario
|
20150623
23 Jun 2015
|
|
Vision Financial Partners, LLC is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Vanguard Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20150623
23 Jun 2015
|
|
Clone of FCA Authorised firm.
|
|
Bloomfunding
|
British Columbia Securities Commission |
British Columbia
|
20150623
23 Jun 2015
|
|
No additional comments posted.
|
|
Kevin Awad - KJRVS inc.
|
Autorité des marchés financiers |
Quebec
|
20150619
19 Jun 2015
|
|
The Autorité des marchés financiers (the "AMF") cautions Québec consumers about solicitations by Kevin Awad and KJRVS Inc., of which he is the president and shareholder.
|
|
Fabrice Mvondo
|
Autorité des marchés financiers |
Quebec
|
20150619
19 Jun 2015
|
|
The Autorité des marchés financiers (the "AMF") is warning Québec consumers about activities purportedly being carried out by Fabrice Mvondo through on-line advertisements in which he offers investments in derivatives.
|
|
Akasaka Acquisition Group
|
Financial Conduct Authority |
United Kingdom
|
20150618
18 Jun 2015
|
|
No additional comments posted.
|
|
BULL POSITION INFORMATION SPAIN, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150617
17 Jun 2015
|
|
No additional comments posted.
|
|
EAR SERVICIOS DE INFORMACION, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150617
17 Jun 2015
|
|
No additional comments posted.
|
|
NEWSFINANCE SERVICIOS DE INFORMACION, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150617
17 Jun 2015
|
|
No additional comments posted.
|
|
Imperial Options
|
British Columbia Securities Commission |
British Columbia
|
20150616
16 Jun 2015
|
|
No additional comments posted.
|
|
Dean Capital Group
|
Autorité des marchés financiers |
Quebec
|
20150616
16 Jun 2015
|
|
The Autorité des marchés financiers (the "AMF") is urging investors to be cautious about solicitations by Dean Capital Group to invest in Alberta Bakken Basin L.P., among others. The AMF has received at least one complaint from a Québec investor who
more
|
|
BBL Capital Management, SA.
|
Czech National Bank |
Czech Republic
|
20150615
15 Jun 2015
|
|
The Czech National Bank wishes to point out to the public that BBL Capital Management, SA., registered office Na Strži 1702/65, 140 00 Praha, which is offering bank accounts, investment services and payment services in English via the website www.bbl
more
|
|
Helmut Studer (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20150615
15 Jun 2015
|
|
Clone of an EEA Authorised Firm
|
|
Select Capital Ventures SA
|
Autorité des marchés financiers |
Quebec
|
20150611
11 Jun 2015
|
|
The Autorité des marchés financiers (the "AMF") is urging investors to be cautious when dealing with Select Capital Ventures SA and its so-called representatives, including Neil Reid. This company has purportedly contacted foreign investors to offer
more
|
|
www.investfond.eu
|
Financial Market Authority |
Austria
|
20150611
11 Jun 2015
|
|
No additional comments posted.
|
|
UK Options
|
Financial Market Authority |
Austria
|
20150611
11 Jun 2015
|
|
No additional comments posted.
|
|
Private Online Investment
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150611
11 Jun 2015
|
|
No additional comments posted.
|
|
WB-Invest GmbH
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20150610
10 Jun 2015
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
RICHMOND STOCK BI SPAIN, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150610
10 Jun 2015
|
|
No additional comments posted.
|
|
VITAL MARKET SOLUCIONES FINANCIERAS, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150610
10 Jun 2015
|
|
No additional comments posted.
|
|
VITAL MARKETS SOLUTIONS LIMITED (VITAL MARKETS)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150610
10 Jun 2015
|
|
No additional comments posted.
|
|
Financial Trading Services S. A.
|
Ontario Securities Commission |
Ontario
|
20150609
09 Jun 2015
|
|
Financial Trading Services S. A. doing business as www.financialtradingservices.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling se
more
|
|
Cabral Garcia Empreendimentos Imobiliários Ltda.
|
Comissão de Valores Mobiliários |
Brazil
|
20150605
05 Jun 2015
|
|
Unauthorized offering of investment opportunities through the internet webpage: http://cabralgarcia.com.br/
|
|
AMERICAN BUSINESS CORPORATION SHARES BRASIL LTDA
|
Comissão de Valores Mobiliários |
Brazil
|
20150605
05 Jun 2015
|
|
Unauthorized portfolio management
|
|
Brainreason
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150603
03 Jun 2015
|
|
No additional comments posted.
|
|
TRADINGSOUP
|
Comissão de Valores Mobiliários |
Brazil
|
20150602
02 Jun 2015
|
|
Unauthorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
more
|
|
INFINITIOPTION
|
Comissão de Valores Mobiliários |
Brazil
|
20150602
02 Jun 2015
|
|
Unauthorized to offer investment opportunities in the Binary Options market to Brazilian residents by any means (online or other).
more
|
|
GREEN INVESTMENT HOUSE CORP./FXMARKER
|
Comissão de Valores Mobiliários |
Brazil
|
20150602
02 Jun 2015
|
|
Unauthorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
more
|
|
TOWEB BRASIL LTDA. EPP
|
Comissão de Valores Mobiliários |
Brazil
|
20150602
02 Jun 2015
|
|
Unauthorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
more
|
|
Unauthorised websites or operators - investment services
|
Autorité des marchés financiers |
France
|
20150602
02 Jun 2015
|
|
This investor alert concerns 14 websites or operators which are not authorised to offer investment services on French territory.
|
|
Experia Management Group
|
Financial Services and Markets Authority |
Belgium
|
20150601
01 Jun 2015
|
|
warning
|
|
Geyser Bank
|
Financial Services and Markets Authority |
Belgium
|
20150601
01 Jun 2015
|
|
warning
|
|
Axis Investment Group
|
Financial Services and Markets Authority |
Belgium
|
20150601
01 Jun 2015
|
|
warning
|
|
AUSTRIA FINANZ SERVICE AG limited
|
Financial Market Authority |
Austria
|
20150529
29 May 2015
|
|
No additional comments posted.
|
|
FX Primus Limited
|
Financial Services Commission |
Mauritius
|
20150529
29 May 2015
|
|
No additional comments posted.
|
|
Global Investment Management
|
Ontario Securities Commission |
Ontario
|
20150527
27 May 2015
|
|
Global Investment Management doing business as www.online-investments.net is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Platinum Trust of Switzerland SA / Platinum Swiss Trust (PST)
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150526
26 May 2015
|
|
No additional comments posted.
|
|
Crown Associates Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150526
26 May 2015
|
|
No additional comments posted.
|
|
Industrial and Commercial Bank of China
|
Financial Conduct Authority |
United Kingdom
|
20150522
22 May 2015
|
|
Clone of FCA authorised firm
|
|
WATTFORD CAPITAL PARTNERS
|
Financial Conduct Authority |
United Kingdom
|
20150522
22 May 2015
|
|
No additional comments posted.
|
|
USFIA INC.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150520
20 May 2015
|
|
No additional comments posted.
|
|
BPS Business Prozesse und Systeme AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150519
19 May 2015
|
|
No additional comments posted.
|
|
DFRF Enterprises LLC, DFRF Enterprises Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20150514
14 May 2015
|
|
No additional comments posted.
|
|
Options XO
|
British Columbia Securities Commission |
British Columbia
|
20150513
13 May 2015
|
|
No additional comments posted.
|
|
Venture FX Pro
|
Ontario Securities Commission |
Ontario
|
20150513
13 May 2015
|
|
Venture FX Pro doing business as venturefxpro.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Update on websites and entities offering forex investments
|
Autorité des marchés financiers |
France
|
20150513
13 May 2015
|
|
The AMF and the ACPR warn against the activities of unathorised websites and entities offering Forex investment trading and provide an updated list of such websites.
|
|
Update on websites offering binary options trading
|
Autorité des marchés financiers |
France
|
20150513
13 May 2015
|
|
The AMF is publishing an updated list of unauthorised websites offering trading in binary options.
|
|
Ecovexco Investment Group, LLC
|
Ontario Securities Commission |
Ontario
|
20150512
12 May 2015
|
|
Ecovexco Investment Group, LLC doing business as ecovexcoinvestmentgroup.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securitie
more
|
|
General Capital AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150512
12 May 2015
|
|
No additional comments posted.
|
|
General Business Capital AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150512
12 May 2015
|
|
No additional comments posted.
|
|
Binary Options
|
Autorité des marchés financiers |
Quebec
|
20150507
07 May 2015
|
|
he Autorité des marchés financiers ("AMF") is urging Québec consumers to exercise caution given the recent rise in the number of suspicious schemes by unregistered foreign companies encouraging them to invest in binary options via on-line trading pla
more
|
|
A&L Royal Finance Inc.
|
British Columbia Securities Commission |
British Columbia
|
20150507
07 May 2015
|
|
No additional comments posted.
|
|
All In One Leman Sàrl
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150507
07 May 2015
|
|
No additional comments posted.
|
|
Richards and Company Future Commission Merchant (RCFCM)
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Banc De Binary Ltd / BDB Services Ltd
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Oracle Mergers
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Central Finance Regulatory Commission
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Century Insight Inc
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
NRG Capital (Cyprus) Limited
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
DSR Wealth Management Group
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Crenshaw Asset Management
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
CLC Acquisition Corp
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Eco Investment Group
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Ecovexco Investment Group
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
B. O. Technologies Limited
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Timmermans-Grantt Solutions (TGS)
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Liberty Venture Holdings
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Netotrade UK Ltd
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Netotrade Global Investments Ltd
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
MHGG Tech Solutions Limited
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Shimbashi & Partners
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
National Finance Commission
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Midal Consulting
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Gateway Mercantile Exchange
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Sheffield Global Investments
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
Geo Survery Management Limited
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
DFA Management Limited
|
Australian Securities and Investments Commission |
Australia
|
20150506
06 May 2015
|
|
No additional comments posted.
|
|
ADN Group SA (ADN Group AG) (ADN Group Ltd)
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150504
04 May 2015
|
|
No additional comments posted.
|
|
Capstone Investment Banking Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150504
04 May 2015
|
|
No additional comments posted.
|
|
CENTRUM ASSET MANAGEMENT
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150504
04 May 2015
|
|
No additional comments posted.
|
|
Katana Securities
|
Securities and Futures Commission |
Hong Kong
|
20150430
30 Apr 2015
|
|
No additional comments posted.
|
|
Setoption Corporation
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150430
30 Apr 2015
|
|
No additional comments posted.
|
|
Grupa Produkcyjna Adrenalina S.A.
|
Polish Financial Supervision Authority |
Poland
|
20150429
29 Apr 2015
|
|
No additional comments posted.
|
|
OneTwoTrade
|
British Columbia Securities Commission |
British Columbia
|
20150428
28 Apr 2015
|
|
No additional comments posted.
|
|
Axel Neumann
|
Financial Conduct Authority |
United Kingdom
|
20150428
28 Apr 2015
|
|
clone of EEA Authorised Individual
|
|
B. D. E. S. Group Ltd. operating as Prime Financial Management Services and as Prime S Pro
|
Ontario Securities Commission |
Ontario
|
20150428
28 Apr 2015
|
|
B. D. E. S. Group Ltd. operating as Prime Financial Management Services and as Prime S Pro doing business as www.primefms.com and primespro.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advisi
more
|
|
MaxOptions
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150428
28 Apr 2015
|
|
No additional comments posted.
|
|
Maple Securities (UK) Limited
|
Financial Conduct Authority |
United Kingdom
|
20150428
28 Apr 2015
|
|
Clone of FCA authorised firm
|
|
UBS Global Asset Management Funds Ltd
|
Financial Conduct Authority |
United Kingdom
|
20150428
28 Apr 2015
|
|
Clone of an FCA Authorised Firm
|
|
Up & Down Marketing Limited doing business as OneTwoTrade and HasOptions
|
Ontario Securities Commission |
Ontario
|
20150427
27 Apr 2015
|
|
Up & Down Marketing Limited operating as OneTwoTrade and HasOptions, doing business as www.onetwotrade.com and www.hasoptions.com, is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone wit
more
|
|
Misuse of AMF name and logo in connection with offering of binary options
|
Autorité des marchés financiers |
France
|
20150427
27 Apr 2015
|
|
The AMF is alerting the public regarding the www.optionbinaireamf.com website which is abusing its name and logo to promote binary trading options on platforms regulated by the competent Cypriot authorities.
|
|
Hope Investment Group
|
British Columbia Securities Commission |
British Columbia
|
20150422
22 Apr 2015
|
|
No additional comments posted.
|
|
Nadex Pro Signals
|
British Columbia Securities Commission |
British Columbia
|
20150422
22 Apr 2015
|
|
No additional comments posted.
|
|
Maine Transfers
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150422
22 Apr 2015
|
|
No additional comments posted.
|
|
DIGITAL BET SERVICES SPAIN, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150422
22 Apr 2015
|
|
No additional comments posted.
|
|
NOTICIAS ECONOMICAS Y FINANCIERAS SIGLO XXI, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150422
22 Apr 2015
|
|
No additional comments posted.
|
|
IGETMANIA
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150422
22 Apr 2015
|
|
No additional comments posted.
|
|
Atticus Holdings International (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20150420
20 Apr 2015
|
|
No additional comments posted.
|
|
SKG Finance AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150416
16 Apr 2015
|
|
No additional comments posted.
|
|
Shields Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20150415
15 Apr 2015
|
|
No additional comments posted.
|
|
Sparrow Capital Partners (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20150415
15 Apr 2015
|
|
No additional comments posted.
|
|
TAX STRATEGIES UNITED TAX STRATEGIES
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150415
15 Apr 2015
|
|
No additional comments posted.
|
|
STOCK MANAGER WORLDWIDE IB, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150415
15 Apr 2015
|
|
No additional comments posted.
|
|
RUNSHINE INVESMENT SERVICES EUROPE S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150415
15 Apr 2015
|
|
No additional comments posted.
|
|
ASTON MARKETS (ASTON FOREX)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150415
15 Apr 2015
|
|
No additional comments posted.
|
|
Eco Money Broker
|
British Columbia Securities Commission |
British Columbia
|
20150414
14 Apr 2015
|
|
No additional comments posted.
|
|
www.binarino.com
|
Polish Financial Supervision Authority |
Poland
|
20150414
14 Apr 2015
|
|
The Polish Financial Supervision Authority (“KNF”) would like to alert all recipients that undetermined persons acting via www.binarino.com (the entity is not registered in Poland)
more
|
|
Lynx Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20150413
13 Apr 2015
|
|
No additional comments posted.
|
|
WATTENBERG CAPITAL LTD
|
Financial Services Commission |
Mauritius
|
20150413
13 Apr 2015
|
|
No additional comments posted.
|
|
Marblestone Partners Ltd operating as TradeRush
|
Ontario Securities Commission |
Ontario
|
20150410
10 Apr 2015
|
|
Marblestone Partners Ltd. doing business as www.traderush.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Los Angeles Investment Club d.b.a. Bakersfield Investment Club
|
British Columbia Securities Commission |
British Columbia
|
20150410
10 Apr 2015
|
|
No additional comments posted.
|
|
Investec Asset Management (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20150409
09 Apr 2015
|
|
Clone of FCA authorised firm
|
|
Grey Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20150409
09 Apr 2015
|
|
No additional comments posted.
|
|
Chartis Mutual Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150408
08 Apr 2015
|
|
No additional comments posted.
|
|
VorsorgePlus.ch
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150407
07 Apr 2015
|
|
No additional comments posted.
|
|
Oakwood Financial Services Limited Inc
|
Financial Conduct Authority |
United Kingdom
|
20150402
02 Apr 2015
|
|
No additional comments posted.
|
|
REDWOOD FINANCES, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150401
01 Apr 2015
|
|
No additional comments posted.
|
|
SISMA CAPITAL GROUP
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150401
01 Apr 2015
|
|
No additional comments posted.
|
|
TRADE MARKET OPTIONS, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150401
01 Apr 2015
|
|
No additional comments posted.
|
|
Update on websites and entities offering forex investments
|
Autorité des marchés financiers |
France
|
20150331
31 Mar 2015
|
|
The AMF and the ACPR warn against the activities of unathorised websites and entities offering Forex investment trading and provide an updated list.
|
|
Christian Muhr Investment Research
|
Financial Conduct Authority |
United Kingdom
|
20150331
31 Mar 2015
|
|
Clone of EEA authorised firm
|
|
Cooper Brennan
|
Financial Conduct Authority |
United Kingdom
|
20150331
31 Mar 2015
|
|
No additional comments posted.
|
|
RDL Management Ltd
|
Financial Services Commission |
Mauritius
|
20150331
31 Mar 2015
|
|
No additional comments posted.
|
|
Urs Vogt (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20150327
27 Mar 2015
|
|
Clone of an EEA Authorised Individual
|
|
JavierYep.com
|
British Columbia Securities Commission |
British Columbia
|
20150326
26 Mar 2015
|
|
No additional comments posted.
|
|
Sachs International, S.A.
|
British Columbia Securities Commission |
British Columbia
|
20150326
26 Mar 2015
|
|
No additional comments posted.
|
|
UBS (CLONE)
|
Financial Conduct Authority |
United Kingdom
|
20150326
26 Mar 2015
|
|
Clone of FCA authorised firm
|
|
Swiss Bullion & Bond AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150323
23 Mar 2015
|
|
---
|
|
The Four Elements PCC
|
Financial Services Commission |
Mauritius
|
20150323
23 Mar 2015
|
|
No additional comments posted.
|
|
Lancelot Global PCC
|
Financial Services Commission |
Mauritius
|
20150323
23 Mar 2015
|
|
No additional comments posted.
|
|
CarbEx
|
Financial Conduct Authority |
United Kingdom
|
20150323
23 Mar 2015
|
|
No additional comments posted.
|
|
Copper and Partners
|
Financial Conduct Authority |
United Kingdom
|
20150323
23 Mar 2015
|
|
No additional comments posted.
|
|
Suisse Private Trust AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150323
23 Mar 2015
|
|
No additional comments posted.
|
|
Equerry Investment Management
|
Financial Conduct Authority |
United Kingdom
|
20150320
20 Mar 2015
|
|
Clone of FCA authorised firm
|
|
Whitfield International Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20150320
20 Mar 2015
|
|
No additional comments posted.
|
|
Shields Corporate Partners
|
Central Bank of Ireland |
Ireland
|
20150319
19 Mar 2015
|
|
Shields Corporate Partners is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Wakefield Securities Limited
|
Central Bank of Ireland |
Ireland
|
20150319
19 Mar 2015
|
|
Wakefield Securities Limited is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Eagle & West Ltd
|
Financial Conduct Authority |
United Kingdom
|
20150318
18 Mar 2015
|
|
No additional comments posted.
|
|
Trident Fund Inc.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150318
18 Mar 2015
|
|
No additional comments posted.
|
|
Blackfoerder Investment Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150318
18 Mar 2015
|
|
No additional comments posted.
|
|
Wakefield Securities Limited
|
Financial Conduct Authority |
United Kingdom
|
20150318
18 Mar 2015
|
|
No additional comments posted.
|
|
Interactive Brokerage Ltd (previous name Global Markets Ltd)
|
Financial Supervision Commission |
Bulgaria
|
20150318
18 Mar 2015
|
Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.) |
warning
|
|
ECONOMISTS & LAWYERS WWW.ECONOMISTS-LAWYERS.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150318
18 Mar 2015
|
|
No additional comments posted.
|
|
FX GLOBAL MARKETS (FXGM) LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150318
18 Mar 2015
|
|
No additional comments posted.
|
|
RENTINO KREDIT ESTABLISHMENT
|
Financial Market Authority |
Liechtenstein
|
20150318
18 Mar 2015
|
|
Warning notice: www.rentinokredit.com
|
|
recovery rooms
|
Financial Services and Markets Authority |
Belgium
|
20150316
16 Mar 2015
|
|
warning
|
|
Verbatim Asset Management PLC
|
Financial Conduct Authority |
United Kingdom
|
20150316
16 Mar 2015
|
|
Clone of an FCA Authorised Firm.
|
|
Atlas Financial Group LTD
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150313
13 Mar 2015
|
|
No additional comments posted.
|
|
SOUTHEAST ASIA TRADERS
|
Danish Financial Supervisory Authority |
Denmark
|
20150313
13 Mar 2015
|
|
WARNING AGAINST SOUTHEAST ASIA TRADERS
more
|
|
KUCHER PARTNERS, LLC
|
Financial Conduct Authority |
United Kingdom
|
20150313
13 Mar 2015
|
|
No additional comments posted.
|
|
Fife Hamilton Associates
|
Financial Services and Markets Authority |
Belgium
|
20150313
13 Mar 2015
|
|
warning
|
|
European Commodities Commission
|
Financial Services and Markets Authority |
Belgium
|
20150313
13 Mar 2015
|
|
warning
|
|
ATI International Financial Group / ATI Associates Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150312
12 Mar 2015
|
|
No additional comments posted.
|
|
Chartis Mutual Group
|
Financial Conduct Authority |
United Kingdom
|
20150311
11 Mar 2015
|
|
No additional comments posted.
|
|
AAC Ventures Limited
|
Ontario Securities Commission |
Ontario
|
20150310
10 Mar 2015
|
|
AAC Ventures Limited, doing business as www.aacventureslimited.ca and www.aacventureslimited.org, is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying
more
|
|
Peritus Capital Inc
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20150310
10 Mar 2015
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Unregistered binary option platforms
|
Autorité des marchés financiers |
Quebec
|
20150309
09 Mar 2015
|
|
The Canadian Securities Administrators (CSA) are warning investors to exercise caution when considering an investment in binary options. The CSA has become aware of multiple websites promoting binary options trading platforms that are soliciting Cana
more
|
|
General Business Capital AG
|
Financial Market Authority |
Austria
|
20150309
09 Mar 2015
|
|
No additional comments posted.
|
|
MAX EASY CREDIT
|
Financial Market Authority |
Austria
|
20150309
09 Mar 2015
|
|
No additional comments posted.
|
|
International Trade Management
|
Financial Market Authority |
Austria
|
20150309
09 Mar 2015
|
|
No additional comments posted.
|
|
NetCFD / Centaure Capital Partners
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20150309
09 Mar 2015
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
UK Options
|
British Columbia Securities Commission |
British Columbia
|
20150306
06 Mar 2015
|
|
No additional comments posted.
|
|
Titan Trade Capital Limited
|
Ontario Securities Commission |
Ontario
|
20150306
06 Mar 2015
|
|
Titan Trade Capital Limited doing business as www.titantrade.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Options Area Inc.
|
Ontario Securities Commission |
Ontario
|
20150306
06 Mar 2015
|
|
Options Area Inc. doing business as optionsarea.com, is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Green Oak Financial (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20150306
06 Mar 2015
|
|
No additional comments posted.
|
|
Hawk Trade, Saito Mergers & Acquisitions, White-Miller Associates and Global Strategy Capital Markets Ltd
|
Financial Services and Markets Authority |
Belgium
|
20150305
05 Mar 2015
|
|
warning 'boiler rooms'
|
|
Update on websites offering binary options trading
|
Autorité des marchés financiers |
France
|
20150304
04 Mar 2015
|
|
Updated warning regarding unauthorised websites offering binary options.
more
|
|
Zulu Trade Inc.
|
British Columbia Securities Commission |
British Columbia
|
20150303
03 Mar 2015
|
|
No additional comments posted.
|
|
24option.com
|
British Columbia Securities Commission |
British Columbia
|
20150302
02 Mar 2015
|
|
No additional comments posted.
|
|
CMI Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20150302
02 Mar 2015
|
|
Clone Firm
|
|
TJB Trading Ltd
|
Polish Financial Supervision Authority |
Poland
|
20150302
02 Mar 2015
|
|
No additional comments posted.
|
|
Get Easy
|
Autorité des marchés financiers |
France
|
20150227
27 Feb 2015
|
|
AMF warns against Get Easy offering services to French investors but which is not authorised by the AMF to offer any financial services that it regulates.
|
|
Pacific Emirates Group and Silver Phoenix Investments
|
Autorité des marchés financiers |
France
|
20150227
27 Feb 2015
|
|
Please find attached the AMF’s joint warning with the ACPR regarding the activities of Emirates Pacific Group and Silver Phoenix Investments presented as its subsidiary which are not authorised to offer the various services they propose.
|
|
Swiss Financial Services SWIIFS
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150226
26 Feb 2015
|
|
No additional comments posted.
|
|
Verrazzano Capital/ Verrazzano UK (Clone of FCA firm)
|
Financial Conduct Authority |
United Kingdom
|
20150225
25 Feb 2015
|
|
No additional comments posted.
|
|
IBERIA EQUITY RESEARCH, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150225
25 Feb 2015
|
|
No additional comments posted.
|
|
KD MARKETS.COM LTD
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150225
25 Feb 2015
|
|
No additional comments posted.
|
|
OBinary Corporation - Bankandcapital - BfmMarkets and BoursoMarket - Royal Broker and G.O. Limited - FXGL Capital and HCI Fund - Broker International Bank - Financial Broker - F&C Management Limited and SIA Europe Trade Services - Bank & Binary
|
Financial Services and Markets Authority |
Belgium
|
20150224
24 Feb 2015
|
|
warning 'Providers of binary options and forex products'
|
|
SOUTH PACIFIC CAPITAL SINGLE MEMBER P.C.
|
Hellenic Capital Market Commission |
Greece
|
20150224
24 Feb 2015
|
|
No additional comments posted.
|
|
Josef Lang Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20150220
20 Feb 2015
|
|
Clone of EEA authorised firm
|
|
BC Financial Advisors
|
Financial Conduct Authority |
United Kingdom
|
20150219
19 Feb 2015
|
|
Cloning EEA authorised firm
|
|
Braemar Capital HK
|
Danish Financial Supervisory Authority |
Denmark
|
20150216
16 Feb 2015
|
|
The Danish Financial Supervisory Authority has been informed that Braemar Capital unsolicited has offered to carry out financial services in Denmark. The company's address is The Westpoint, 160 Connaught Road West Western Hong Kong. The company's hom
more
|
|
Web binareo.com & tradersking.com
|
Autorité des marchés financiers |
Quebec
|
20150213
13 Feb 2015
|
|
The Autorité des marchés financiers (the "AMF") is warning Québec consumers not to trade through the websites binareo.com and tradersking.com. The companies that operate these on-line trading platforms and their purported representatives, Julien Pasq
more
|
|
Chikara FX
|
Ontario Securities Commission |
Ontario
|
20150212
12 Feb 2015
|
|
Chikara FX, doing business as www.chikarafx.com, is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Douglas Cooper Associates
|
Financial Conduct Authority |
United Kingdom
|
20150211
11 Feb 2015
|
|
No additional comments posted.
|
|
Interequity Inc.
|
Financial Market Authority |
Austria
|
20150211
11 Feb 2015
|
|
No additional comments posted.
|
|
OptionsXO
|
Financial Market Authority |
Austria
|
20150211
11 Feb 2015
|
|
No additional comments posted.
|
|
LF-Trust Europe
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20150206
06 Feb 2015
|
|
No additional comments posted.
|
|
Glenwood-securities
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150206
06 Feb 2015
|
|
No additional comments posted.
|
|
Simple Trading Corporation Limited
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150204
04 Feb 2015
|
|
No additional comments posted.
|
|
FXGL Capital
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150204
04 Feb 2015
|
|
No additional comments posted.
|
|
Binary Investments Global Limited
|
Ontario Securities Commission |
Ontario
|
20150203
03 Feb 2015
|
|
Binary Investments Global Limited, doing business as optionmint.com, optionqueen.com and binarypays.com, is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in,
more
|
|
Coventry Trading S.A.
|
Ontario Securities Commission |
Ontario
|
20150128
28 Jan 2015
|
|
Coventry Trading S.A. doing business as www.coventrytrading.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Magellan Trading Group International
|
Ontario Securities Commission |
Ontario
|
20150128
28 Jan 2015
|
|
Magellan Trading Group International doing business as www.magellantradingfx.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling secur
more
|
|
Avante Corp LLC
|
Financial Conduct Authority |
United Kingdom
|
20150127
27 Jan 2015
|
|
No additional comments posted.
|
|
|
Hellenic Capital Market Commission |
Greece
|
20150127
27 Jan 2015
|
|
No additional comments posted.
|
|
Thomas Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20150127
27 Jan 2015
|
|
No additional comments posted.
|
|
GetEasy and iGetMania
|
Autorité des marchés financiers |
Quebec
|
20150126
26 Jan 2015
|
|
The Autorité des marchés financiers ("AMF") is cautioning investors in Québec about an investment program connected to the Portuguese firm GetEasy Limited and the British firm iGetMania Limited. Their investment products are tied in particular to the
more
|
|
Harper & Reed Consultants
|
Financial Conduct Authority |
United Kingdom
|
20150126
26 Jan 2015
|
|
No additional comments posted.
|
|
Eco Investment Group, LLC
|
Ontario Securities Commission |
Ontario
|
20150122
22 Jan 2015
|
|
Eco Investment Group, LLC is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Wagner Capital Management Group
|
Central Bank of Ireland |
Ireland
|
20150122
22 Jan 2015
|
|
Wagner Capital Management Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
ACG1
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20150121
21 Jan 2015
|
|
No additional comments posted.
|
|
Inverbit Binary Options, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150121
21 Jan 2015
|
|
No additional comments posted.
|
|
Millard Equity, SA
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150121
21 Jan 2015
|
|
No additional comments posted.
|
|
Stocks Markets Consulting, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150121
21 Jan 2015
|
|
No additional comments posted.
|
|
GMT Markets
|
Comisión Nacional del Mercado de Valores |
Spain
|
20150121
21 Jan 2015
|
|
No additional comments posted.
|
|
Harrison Stones Limited
|
Financial Conduct Authority |
United Kingdom
|
20150120
20 Jan 2015
|
|
No additional comments posted.
|
|
Dumont Private Equity
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20150119
19 Jan 2015
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
API Premiere Swiss Trust AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150116
16 Jan 2015
|
|
No additional comments posted.
|
|
Alpen Asset Management Trust Sàrl
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150116
16 Jan 2015
|
|
No additional comments posted.
|
|
Capital One Forex
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150115
15 Jan 2015
|
|
No additional comments posted.
|
|
Select Capital Ventures SA
|
Financial Conduct Authority |
United Kingdom
|
20150115
15 Jan 2015
|
|
No additional comments posted.
|
|
Wakamy Libman and Associates
|
Financial Conduct Authority |
United Kingdom
|
20150115
15 Jan 2015
|
|
No additional comments posted.
|
|
Lifestyle Forex Management Limited
|
British Columbia Securities Commission |
British Columbia
|
20150115
15 Jan 2015
|
|
No additional comments posted.
|
|
Berenberg Private Banking
|
Financial Conduct Authority |
United Kingdom
|
20150114
14 Jan 2015
|
|
Cloning EEA Authorised Firm
|
|
CO&H, as well as to those of CEA FINANCE, FINANPERF, ANALYSIS FINANCE, GA FINANCE and FINANCE TRADITION
|
Autorité des marchés financiers |
France
|
20150114
14 Jan 2015
|
|
Warning regarding CO&H Ltd, as well as CEA FINANCE, FINANPERF, ANALYSIS FINANCE, GA FINANCE and FINANCE TRADITION - these entities are not authorised to provide investment services on French territory.
|
|
Unauthorised websites offering Forex investments
|
Autorité des marchés financiers |
France
|
20150114
14 Jan 2015
|
|
The AMF and the ACPR warn against the activities of unathorised websites offering Forex investment trading
|
|
Update websites offering binary options trading
|
Autorité des marchés financiers |
France
|
20150114
14 Jan 2015
|
|
Updated list of unauthorised websites offering trading in binary options.
|
|
Charlton Fitzgerald
|
Financial Conduct Authority |
United Kingdom
|
20150114
14 Jan 2015
|
|
Using a similar name to an FCA authorised firm
|
|
Shimbashi & Partners
|
Financial Conduct Authority |
United Kingdom
|
20150114
14 Jan 2015
|
|
No additional comments posted.
|
|
Rockwell Partners S.A.
|
Ontario Securities Commission |
Ontario
|
20150113
13 Jan 2015
|
|
Rockwell Partners S.A. is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Vantage Capital Research
|
Danish Financial Supervisory Authority |
Denmark
|
20150113
13 Jan 2015
|
|
The Danish Financial Supervisory Authority has been informed that Vantage Capital Research unsolicited has offered to carry out financial services in Denmark. The company's addresses are 233 Wai Yip Street, Kwun Tong, Kowloon Hong Kong and Taipei 101
more
|
|
Cormwell Global
|
Ontario Securities Commission |
Ontario
|
20150112
12 Jan 2015
|
|
Cromwell Global is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
FXDD Malta Limited
|
Ontario Securities Commission |
Ontario
|
20150112
12 Jan 2015
|
|
FXDD Malta Limited is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
SpotFN
|
Financial Market Authority |
Austria
|
20150112
12 Jan 2015
|
|
No additional comments posted.
|
|
SFT INVESTMENT (Zurich FTS Investment Bank)
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150112
12 Jan 2015
|
|
No additional comments posted.
|
|
Laxmi Groups International / Laxmi Groups Luxembourg
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20150109
09 Jan 2015
|
|
No additional comments posted.
|
|
BENSON BPO LLC
|
Financial Conduct Authority |
United Kingdom
|
20150109
09 Jan 2015
|
|
No additional comments posted.
|
|
Wheeler Consultancy Ltd
|
Financial Conduct Authority |
United Kingdom
|
20150108
08 Jan 2015
|
|
No additional comments posted.
|
|
Hansa * Real * Consultants, C.A.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20150107
07 Jan 2015
|
|
No additional comments posted.
|
|
WILKINS CAPITAL GROUP
|
Financial Conduct Authority |
United Kingdom
|
20150106
06 Jan 2015
|
|
No additional comments posted.
|
|
DB Yates & Associates
|
Financial Conduct Authority |
United Kingdom
|
20150106
06 Jan 2015
|
|
No additional comments posted.
|
|
Wagner Capital Management Group
|
Financial Conduct Authority |
United Kingdom
|
20150105
05 Jan 2015
|
|
No additional comments posted.
|
|
Hong Kong Investment Corporation
|
Financial Conduct Authority |
United Kingdom
|
20150102
02 Jan 2015
|
|
No additional comments posted.
|
|
Investo Kancelaria Inwestycyjna Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20141231
31 Dec 2014
|
|
No additional comments posted.
|
|
WADE AND WILEY CONSULTANCY
|
Financial Conduct Authority |
United Kingdom
|
20141231
31 Dec 2014
|
|
No additional comments posted.
|
|
Simon Gray & Associates
|
Financial Conduct Authority |
United Kingdom
|
20141231
31 Dec 2014
|
|
No additional comments posted.
|
|
STANLEY HUDSON
|
Financial Conduct Authority |
United Kingdom
|
20141230
30 Dec 2014
|
|
No additional comments posted.
|
|
Claims and Compensation Management Limited
|
Financial Conduct Authority |
United Kingdom
|
20141229
29 Dec 2014
|
|
Clone of FCA registered firm
|
|
C6 Forex Inc.
|
Ontario Securities Commission |
Ontario
|
20141223
23 Dec 2014
|
|
C6 Forex Inc. is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
B. O. Technologies Limited doing business as Option Financial Markets
|
Ontario Securities Commission |
Ontario
|
20141223
23 Dec 2014
|
|
B. O. Technologies Limited doing business as Option Financial Markets at http://option.fm is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or sell
more
|
|
Anglo China Securities
|
Financial Conduct Authority |
United Kingdom
|
20141223
23 Dec 2014
|
|
No additional comments posted.
|
|
Cavendish Investor Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20141222
22 Dec 2014
|
|
No additional comments posted.
|
|
Keystone Corporate Group
|
Financial Conduct Authority |
United Kingdom
|
20141219
19 Dec 2014
|
|
No additional comments posted.
|
|
Parkbrook Incorporated
|
Financial Conduct Authority |
United Kingdom
|
20141219
19 Dec 2014
|
|
No additional comments posted.
|
|
Canary Wharf Group
|
Financial Conduct Authority |
United Kingdom
|
20141219
19 Dec 2014
|
|
No additional comments posted.
|
|
Futurmarket, BanqofBroker, Royal De Bank, Colbert Capital, Privilege Trading, Binaritrading, COB Trading, Optionavigator, OptionsXO, Cardell Co limited, YA&Co Capital limited, CO&H limited, CEA Finance, FXObank, Binary Forex Market VIP, BarclaysBroker, AG
|
Financial Services and Markets Authority |
Belgium
|
20141219
19 Dec 2014
|
|
warning 'Providers of Binary Options & Forex Products'
|
|
Avatrade
|
Autorité des marchés financiers |
Quebec
|
20141218
18 Dec 2014
|
|
The Autorité des marchés financiers (the "AMF") is notifying Québec consumers that it recently identified five on-line trading platform websites that are not authorized to offer products and services in Québec: avatrade.com, avatrade.ca, ilq.com.vn,
more
|
|
EMGOLDEX
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20141218
18 Dec 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Balmoral International Group
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20141216
16 Dec 2014
|
|
No additional comments posted.
|
|
Online Binary Options Trading Platforms - Old Square Holdings Limited, Chelestra Limited, Top Volume Solutions Limited, Stargo Enterprise Limited
|
Gibraltar Financial Services Commission |
Gibraltar
|
20141216
16 Dec 2014
|
|
No additional comments posted.
|
|
tradecorp-partners.com
|
Gibraltar Financial Services Commission |
Gibraltar
|
20141216
16 Dec 2014
|
|
We have purposely not published the name of the company used by tradecorp-partners.com, as it is a legitimate company whose interests would be harmed by such publication. Persons behind tradecorp-partners.com appear to be the same as for previous war
more
|
|
Astra Finanz
|
Financial Market Authority |
Austria
|
20141216
16 Dec 2014
|
|
No additional comments posted.
|
|
Amicus Investment Ltd.
|
Financial Market Authority |
Austria
|
20141216
16 Dec 2014
|
|
No additional comments posted.
|
|
Artemis Fund Managers
|
Financial Conduct Authority |
United Kingdom
|
20141216
16 Dec 2014
|
|
Clone of an FCA authorised firm.
|
|
Carter Jones Capital
|
Australian Securities and Investments Commission |
Australia
|
20141216
16 Dec 2014
|
|
No additional comments posted.
|
|
Vantage Holdings Group Limited
|
Central Bank of Ireland |
Ireland
|
20141215
15 Dec 2014
|
|
Vantage Holdings Group Limited is not authorised to provide investment services in Ireland. The firm purports to be based in Hong Kong.
|
|
Robert Finance Corporation
|
Financial Market Authority |
Liechtenstein
|
20141215
15 Dec 2014
|
|
Warning notice: www.robert-finance.com
|
|
Binary Goal
|
British Columbia Securities Commission |
British Columbia
|
20141212
12 Dec 2014
|
|
No additional comments posted.
|
|
Apollo Multi Asset Management LLP
|
Financial Conduct Authority |
United Kingdom
|
20141212
12 Dec 2014
|
|
Clone of an FCA Authorised FIrm
|
|
GCM International Inc
|
Financial Services Commission |
Mauritius
|
20141212
12 Dec 2014
|
|
No additional comments posted.
|
|
Fanrong Capital
|
Ontario Securities Commission |
Ontario
|
20141211
11 Dec 2014
|
|
Fanrong Capital is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Eufala Investments Ltd. doing business as gtoptions.com and 777binary.com
|
Ontario Securities Commission |
Ontario
|
20141211
11 Dec 2014
|
|
Eufala Investments Limited doing business as www.gtoptions.com and www.777binary.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling s
more
|
|
Eufala Marketing Limited doing business as gtoptions.com and 777binary.com
|
Ontario Securities Commission |
Ontario
|
20141211
11 Dec 2014
|
|
Eufala Investments Ltd. doing business as gtoptions.com and 777binary.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Ftradition LTD
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20141211
11 Dec 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
ACA Group Limited
|
Central Bank of Ireland |
Ireland
|
20141211
11 Dec 2014
|
|
ACA Group Limited is not authorised to provide investment services in Ireland. The firm purports to be based in Hong Kong.
|
|
Nat Deutsche Group
|
Isle of Man Financial Services Authority |
Isle of Man
|
20141210
10 Dec 2014
|
|
Nat Deutsche Group claiming to have Isle of Man address in what appears to be advanced fee type scam
|
|
Coventry Trading S.A.
|
British Columbia Securities Commission |
British Columbia
|
20141209
09 Dec 2014
|
|
No additional comments posted.
|
|
Union Standard International Group Pty Ltd
|
Financial Supervisory Commission |
Chinese Taipei
|
20141208
08 Dec 2014
|
|
Financial Supervisory Commission(FSC), Chinese Taipei. warns against the activities of Union Standard International Group Pty Ltd.
|
|
West Capital Partners Inc
|
Financial Conduct Authority |
United Kingdom
|
20141204
04 Dec 2014
|
|
No additional comments posted.
|
|
Windlow Group
|
Financial Conduct Authority |
United Kingdom
|
20141204
04 Dec 2014
|
|
No additional comments posted.
|
|
CC Wealth Ltd
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20141204
04 Dec 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Trading London Investment
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20141204
04 Dec 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Q Asia Pacific
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20141204
04 Dec 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Aberdeen Trust
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20141204
04 Dec 2014
|
|
No additional comments posted.
|
|
Hoya Partners
|
Financial Conduct Authority |
United Kingdom
|
20141203
03 Dec 2014
|
|
No additional comments posted.
|
|
Amstrad-Wealth S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20141202
02 Dec 2014
|
|
No additional comments posted.
|
|
AMG-Clients S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20141202
02 Dec 2014
|
|
No additional comments posted.
|
|
AFM Advanced Financial Markets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20141202
02 Dec 2014
|
|
No additional comments posted.
|
|
Galaxy Investment Management Limited - gimsafeinvestor.com
|
Autorité des marchés financiers |
Quebec
|
20141201
01 Dec 2014
|
|
Further to analyses under its cybersurveillance program, the Autorité des marchés financiers (the "AMF") is warning Québec investors about the gimsafeinvestor.com website and the firm Galaxy Investment Management Limited, which administers the site.
more
|
|
SWISS GLOBAL SECURITY, ZURICH (SGSZ)
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20141201
01 Dec 2014
|
|
No additional comments posted.
|
|
Capital Mergers & Acquisitions
|
Central Bank of Ireland |
Ireland
|
20141128
28 Nov 2014
|
|
Capital Mergers & Acquisitions is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
|
|
Ingledew Trading
|
Financial Conduct Authority |
United Kingdom
|
20141127
27 Nov 2014
|
|
No additional comments posted.
|
|
Dolce Formula Ltd.
|
Ontario Securities Commission |
Ontario
|
20141125
25 Nov 2014
|
|
Dolce Formula Ltd. operating as OptionsXO doing business as www.optionsxo.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Lerwick Capital Limited
|
Ontario Securities Commission |
Ontario
|
20141125
25 Nov 2014
|
|
Lerwick Capital Ltd doing business as OptiMarkets.com, OptiProfits.com, CityBinary.com, and xpmarkets.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling
more
|
|
Sachs International, S.A.
|
Ontario Securities Commission |
Ontario
|
20141125
25 Nov 2014
|
|
Sachs International, S.A. doing business as www.sachsint.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Aegis Acquisition Corporation
|
Financial Conduct Authority |
United Kingdom
|
20141125
25 Nov 2014
|
|
No additional comments posted.
|
|
Castlewood Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20141125
25 Nov 2014
|
|
No additional comments posted.
|
|
Phoenix Financial Services
|
Central Bank of Ireland |
Ireland
|
20141124
24 Nov 2014
|
|
Phoenix Financial Services is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Miyako Mergers & Acquisitions
|
Central Bank of Ireland |
Ireland
|
20141124
24 Nov 2014
|
|
Miyako Mergers & Acquisitions is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
|
|
Assets Credit Union
|
Financial Services and Markets Authority |
Belgium
|
20141121
21 Nov 2014
|
|
warning
|
|
Baron-Moore Associates
|
Securities and Futures Commission |
Hong Kong
|
20141121
21 Nov 2014
|
|
No additional comments posted.
|
|
Harrison & Stanley Associates
|
Financial Conduct Authority |
United Kingdom
|
20141120
20 Nov 2014
|
|
No additional comments posted.
|
|
maxhyip.com
|
Autorité des marchés financiers |
Quebec
|
20141117
17 Nov 2014
|
|
The Autorité des marchés financiers (the "AMF") is warning consumers about activities carried on by Steeve Beaudin through the website www.maxhyip.com promoting high-yield investment programs (HYIP) to Québec investors.
|
|
Crown Group Funds UCITS PLC (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20141117
17 Nov 2014
|
|
No additional comments posted.
|
|
Zenith Capital Ventures
|
Central Bank of Ireland |
Ireland
|
20141117
17 Nov 2014
|
|
Zenith Capital Ventures is not authorised to provide investment services in Ireland. The firm purports to be based in Hong Kong.
|
|
Bezpieczny Przelew Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20141114
14 Nov 2014
|
|
No additional comments posted.
|
|
Aberdeen Trust
|
Financial Conduct Authority |
United Kingdom
|
20141113
13 Nov 2014
|
|
No additional comments posted.
|
|
amberoptions.com
|
Autorité des marchés financiers |
Quebec
|
20141113
13 Nov 2014
|
|
The Autorité des marchés financiers (the “AMF”) is notifying Québec consumers that it recently identified an on-line binary options trading platform that is not authorized to offer products and services in Québec: amberoptions.com. Quebeckers should
more
|
|
Kingsley Asset Management (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20141111
11 Nov 2014
|
|
No additional comments posted.
|
|
Taito Securities Group
|
Financial Conduct Authority |
United Kingdom
|
20141107
07 Nov 2014
|
|
No additional comments posted.
|
|
Capital One Forex Limited
|
British Columbia Securities Commission |
British Columbia
|
20141106
06 Nov 2014
|
|
No additional comments posted.
|
|
BlackRock Wealth Partners / BlackRock Wealth / BlackRock Wealth Group / BlackRock-Wealth SA
|
Financial Conduct Authority |
United Kingdom
|
20141106
06 Nov 2014
|
|
Clone of FCA authorised firm
|
|
Österreichische Unterstützungskasse
|
Financial Market Authority |
Austria
|
20141106
06 Nov 2014
|
|
No additional comments posted.
|
|
Schwarz & Stien Partners
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20141104
04 Nov 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
DirectProperty Inc
|
Jersey Financial Services Commission |
Jersey
|
20141103
03 Nov 2014
|
|
No additional comments posted.
|
|
standard.auditunit@admin.in.th
|
Jersey Financial Services Commission |
Jersey
|
20141103
03 Nov 2014
|
|
The email address
more
|
|
Sprinvales Standard Bank
|
Jersey Financial Services Commission |
Jersey
|
20141103
03 Nov 2014
|
|
No additional comments posted.
|
|
Nova Nordic Limited / nordelic-partners.com
|
Gibraltar Financial Services Commission |
Gibraltar
|
20141103
03 Nov 2014
|
|
Following an unsolicited approach to a potential client via email, the FSC has reviewed statements on nordelic-partners.com, which claims to provide investment management and other financial services to prospective clients.
more
|
|
Pritchard Stockbrokers Limited
|
Financial Conduct Authority |
United Kingdom
|
20141031
31 Oct 2014
|
|
Clone of FCA authorised firm
|
|
Asian Direct Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20141027
27 Oct 2014
|
|
No additional comments posted.
|
|
LiveFX Trader
|
Financial Services Commission |
Mauritius
|
20141027
27 Oct 2014
|
|
Issued jointly with the Cyprus Securities and Exchange Commission (CySEC)
|
|
Crown Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20141027
27 Oct 2014
|
|
No additional comments posted.
|
|
Hong Kong International Asset Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20141027
27 Oct 2014
|
|
No additional comments posted.
|
|
Simon and Ross Incorporated
|
Securities and Futures Commission |
Hong Kong
|
20141027
27 Oct 2014
|
|
No additional comments posted.
|
|
Burton Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20141024
24 Oct 2014
|
|
No additional comments posted.
|
|
CAC Invest
|
Autorité des marchés financiers |
France
|
20141024
24 Oct 2014
|
|
Warning regarding an unauthorised company calling itself CAC Invest
|
|
Houlihan Lokey
|
Financial Conduct Authority |
United Kingdom
|
20141022
22 Oct 2014
|
|
Clone of FCA authorised firm
|
|
GEN Equities Switzerland
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20141022
22 Oct 2014
|
|
No additional comments posted.
|
|
FXZN Investment Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20141021
21 Oct 2014
|
|
No additional comments posted.
|
|
Schwarz Oliver Thomas
|
Financial Conduct Authority |
United Kingdom
|
20141021
21 Oct 2014
|
|
Clone of EEA authorised firm
|
|
Fast Line Legal Services
|
Financial Conduct Authority |
United Kingdom
|
20141020
20 Oct 2014
|
|
No additional comments posted.
|
|
Gilmoore Financial Inc
|
Financial Conduct Authority |
United Kingdom
|
20141020
20 Oct 2014
|
|
No additional comments posted.
|
|
AVA Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20141017
17 Oct 2014
|
|
No additional comments posted.
|
|
Red Level Enterprises
|
Financial Conduct Authority |
United Kingdom
|
20141017
17 Oct 2014
|
|
Clone of FCA authorised firm
|
|
International Mergers and Acquisitions Board of Japan
|
Financial Conduct Authority |
United Kingdom
|
20141016
16 Oct 2014
|
|
No additional comments posted.
|
|
Smith and Jacobs
|
Financial Conduct Authority |
United Kingdom
|
20141016
16 Oct 2014
|
|
No additional comments posted.
|
|
Total Investments Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20141015
15 Oct 2014
|
|
No additional comments posted.
|
|
Schneider Roth & Partner
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20141014
14 Oct 2014
|
|
No additional comments posted.
|
|
GEN Equities
|
Central Bank of Ireland |
Ireland
|
20141009
09 Oct 2014
|
|
GEN Equities is not authorised to provide investment services in Ireland.
|
|
Nippori Group
|
Finansinspektionen |
Sweden
|
20141008
08 Oct 2014
|
|
No additional comments posted.
|
|
Bowman Offshore Transfer
|
Securities and Futures Commission |
Hong Kong
|
20141008
08 Oct 2014
|
|
No additional comments posted.
|
|
MTR Global
|
Financial Conduct Authority |
United Kingdom
|
20141007
07 Oct 2014
|
|
No additional comments posted.
|
|
BSC Switzerland / Bitstream Capital SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20141007
07 Oct 2014
|
|
No additional comments posted.
|
|
FOREX MMCIS Group
|
Malta Financial Services Authority |
Malta
|
20141006
06 Oct 2014
|
|
No additional comments posted.
|
|
Ventures GB
|
Danish Financial Supervisory Authority |
Denmark
|
20141006
06 Oct 2014
|
|
The Danish Financial Supervisory Authority has been informed that Ventures GB unsolicited has offered to carry out financial services. The company's address is Calle Pinar 5, 28006 Madrid, Spain and the company's homepage is www.venturesgb.com.
more
|
|
Pareto Securities (Clone)
|
Financial Conduct Authority |
United Kingdom
|
20141003
03 Oct 2014
|
|
Clone of FCA Authorised Firm
|
|
Kiyose Mergers
|
Financial Conduct Authority |
United Kingdom
|
20141003
03 Oct 2014
|
|
No additional comments posted.
|
|
Vantage Holdings Group Ltd
|
Finansinspektionen |
Sweden
|
20141003
03 Oct 2014
|
|
No additional comments posted.
|
|
Boyd Clark Resource Capital Solutions
|
Finansinspektionen |
Sweden
|
20141003
03 Oct 2014
|
|
No additional comments posted.
|
|
Eastern Metal Securities
|
British Columbia Securities Commission |
British Columbia
|
20141002
02 Oct 2014
|
|
No additional comments posted.
|
|
ALLIANCE PRIVATE EQUITY LLP
|
Financial Conduct Authority |
United Kingdom
|
20141001
01 Oct 2014
|
|
No additional comments posted.
|
|
Solution Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20141001
01 Oct 2014
|
|
No additional comments posted.
|
|
Mason Securities LLC
|
Financial Conduct Authority |
United Kingdom
|
20140930
30 Sep 2014
|
|
No additional comments posted.
|
|
Aura Mergers & Acquisitions
|
Finansinspektionen |
Sweden
|
20140930
30 Sep 2014
|
|
No additional comments posted.
|
|
|
Hellenic Capital Market Commission |
Greece
|
20140930
30 Sep 2014
|
|
No additional comments posted.
|
|
Robinson Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20140930
30 Sep 2014
|
|
No additional comments posted.
|
|
International Capital Markets
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20140930
30 Sep 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
DuPont Financial/DuPont FX/DP Global Services Ltd (clone of authorised firm)
|
Finansinspektionen |
Sweden
|
20140929
29 Sep 2014
|
|
No additional comments posted.
|
|
Kent Hughes & Co.
|
Danish Financial Supervisory Authority |
Denmark
|
20140929
29 Sep 2014
|
|
The Danish Financial Supervisory Authority has been informed that Kent Hughes & Co. unsolicited has offered to carry out financial services. The company's address is Level 6, No. 20A Queens Road Central, Central, Hong Kong and the company's homepage
more
|
|
Abler Finance
|
British Columbia Securities Commission |
British Columbia
|
20140926
26 Sep 2014
|
|
No additional comments posted.
|
|
Miller Options / SIMEX
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140926
26 Sep 2014
|
|
No additional comments posted.
|
|
Martin Kessler Global Resource Advisors
|
Financial Market Authority |
Liechtenstein
|
20140926
26 Sep 2014
|
|
Warning notice: Martin Kessler Global Resource Advisors has not been licensed by the FMA as an asset management company.
|
|
Vantage Point LLC
|
Financial Conduct Authority |
United Kingdom
|
20140926
26 Sep 2014
|
|
No additional comments posted.
|
|
Luxembourg Futures Commodities Options Exchange
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140926
26 Sep 2014
|
|
No additional comments posted.
|
|
Luxembourg Futures Commodities Options Trading Authority
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140926
26 Sep 2014
|
|
No additional comments posted.
|
|
Harrison & Bradley Financial Group
|
Finansinspektionen |
Sweden
|
20140925
25 Sep 2014
|
|
No additional comments posted.
|
|
Dean Foster Associates
|
Financial Conduct Authority |
United Kingdom
|
20140924
24 Sep 2014
|
|
No additional comments posted.
|
|
Update websites offering binary options trading
|
Autorité des marchés financiers |
France
|
20140924
24 Sep 2014
|
|
Update of the list of unauthorised websites offering trading in binary options
|
|
SWFmanagers Financial Services
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140924
24 Sep 2014
|
|
No additional comments posted.
|
|
Markets the World Limited
|
Ontario Securities Commission |
Ontario
|
20140923
23 Sep 2014
|
|
Markets the World Limited o/a MarketsWorld doing business as www.marketsworld.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Nextrade Worldwide Ltd.
|
Ontario Securities Commission |
Ontario
|
20140923
23 Sep 2014
|
|
Nextrade Worldwide Ltd. doing business as www.stockpair.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
NXD Trading Ltd.
|
Ontario Securities Commission |
Ontario
|
20140923
23 Sep 2014
|
|
NXD Trading Ltd. doing business as of www.stockpair.net is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities
|
|
WB Global Strategic Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20140923
23 Sep 2014
|
|
No additional comments posted.
|
|
World Trade Consortium
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20140923
23 Sep 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
RT Owens & Associates, LLC
|
Financial Conduct Authority |
United Kingdom
|
20140923
23 Sep 2014
|
|
No additional comments posted.
|
|
Brooke Point Limited
|
Financial Conduct Authority |
United Kingdom
|
20140922
22 Sep 2014
|
|
No additional comments posted.
|
|
Boyd Clark Resource Capital Solutions
|
British Columbia Securities Commission |
British Columbia
|
20140919
19 Sep 2014
|
|
No additional comments posted.
|
|
Euroasian Rail Skyway Systems Ltd
|
Bank of Lithuania |
Lithuania
|
20140919
19 Sep 2014
|
|
No additional comments posted.
|
|
Martin Kessler
|
Financial Conduct Authority |
United Kingdom
|
20140919
19 Sep 2014
|
|
Clone of EEA authorised firm
|
|
Genkai Securities
|
Danish Financial Supervisory Authority |
Denmark
|
20140919
19 Sep 2014
|
|
The Danish Financial Supervisory Authority has been informed that Genkai Securities unsolicited has offered to carry out financial services in Denmark. The company's address is Lippo Centre Tower 1, 89 Queensway, Admirality, Hong Kong. The company's
more
|
|
Hirsche Private Asset Management Ltd
|
Financial Conduct Authority |
United Kingdom
|
20140919
19 Sep 2014
|
|
No additional comments posted.
|
|
RevoFinanz AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140919
19 Sep 2014
|
|
No additional comments posted.
|
|
Watts Corporate Services LLC
|
Financial Conduct Authority |
United Kingdom
|
20140918
18 Sep 2014
|
|
No additional comments posted.
|
|
Cardell Limited
|
Securities and Futures Commission |
Hong Kong
|
20140918
18 Sep 2014
|
|
No additional comments posted.
|
|
Swiss Financial Trust AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140917
17 Sep 2014
|
|
No additional comments posted.
|
|
Hudson Coe & Associates, LLC
|
Financial Conduct Authority |
United Kingdom
|
20140917
17 Sep 2014
|
|
No additional comments posted.
|
|
GRIFFIN ADVISORS LIMITED
|
Financial Conduct Authority |
United Kingdom
|
20140917
17 Sep 2014
|
|
No additional comments posted.
|
|
Commodities Link
|
Financial Conduct Authority |
United Kingdom
|
20140916
16 Sep 2014
|
|
No additional comments posted.
|
|
Centrum Turystyczne Cadet s.c.
|
Polish Financial Supervision Authority |
Poland
|
20140916
16 Sep 2014
|
|
On February 13, 2015 District Prosecutor’s Office in Gorzów Wielkopolski issued a decision to discontinue the investigation.
|
|
MY-1STEP Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20140916
16 Sep 2014
|
|
No additional comments posted.
|
|
INTELVITA Markets Limited
|
Financial Services Commission |
Mauritius
|
20140916
16 Sep 2014
|
|
No additional comments posted.
|
|
GE Shaw Management Group
|
Financial Conduct Authority |
United Kingdom
|
20140915
15 Sep 2014
|
|
No additional comments posted.
|
|
Brookmore Partners
|
Financial Conduct Authority |
United Kingdom
|
20140915
15 Sep 2014
|
|
No additional comments posted.
|
|
TCL Associates
|
Danish Financial Supervisory Authority |
Denmark
|
20140915
15 Sep 2014
|
|
The Danish Financial Supervisory Authority has been informed that TCL Associates unsolicited has offered to carry out financial services in Denmark. The company's address is Taiyo Seimei Nihonbashi Building, 2-11-2, Nihonbashi, Chuo-ku, 103-0027 - To
more
|
|
Drummonds Initiatives
|
Financial Conduct Authority |
United Kingdom
|
20140915
15 Sep 2014
|
|
No additional comments posted.
|
|
Smith and Stanley Corporate Consultants
|
Financial Conduct Authority |
United Kingdom
|
20140912
12 Sep 2014
|
|
No additional comments posted.
|
|
Marks Capital
|
Financial Market Authority |
Austria
|
20140911
11 Sep 2014
|
|
No additional comments posted.
|
|
Pivotal Investment Group
|
Financial Market Authority |
Austria
|
20140911
11 Sep 2014
|
|
No additional comments posted.
|
|
Euro Asia Invest Ltd.
|
Financial Market Authority |
Austria
|
20140911
11 Sep 2014
|
|
No additional comments posted.
|
|
Finanzinnovationen AG
|
Financial Market Authority |
Austria
|
20140911
11 Sep 2014
|
|
No additional comments posted.
|
|
Williamson Advisors Ltd
|
Financial Conduct Authority |
United Kingdom
|
20140911
11 Sep 2014
|
|
No additional comments posted.
|
|
Bauer and Associates
|
Financial Conduct Authority |
United Kingdom
|
20140911
11 Sep 2014
|
|
No additional comments posted.
|
|
Springer Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20140910
10 Sep 2014
|
|
No additional comments posted.
|
|
Jacob Johnson Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20140910
10 Sep 2014
|
|
No additional comments posted.
|
|
Carrington Group LLC
|
Financial Conduct Authority |
United Kingdom
|
20140910
10 Sep 2014
|
|
No additional comments posted.
|
|
Fraser Mackenzie Transfer Company
|
Securities and Futures Commission |
Hong Kong
|
20140910
10 Sep 2014
|
|
No additional comments posted.
|
|
Offshore Transfers Limited
|
Securities and Futures Commission |
Hong Kong
|
20140910
10 Sep 2014
|
|
No additional comments posted.
|
|
Endeavour Fund
|
Securities and Futures Commission |
Hong Kong
|
20140910
10 Sep 2014
|
|
No additional comments posted.
|
|
Goldman Shaks (PVT) Ltd
|
Financial Conduct Authority |
United Kingdom
|
20140908
08 Sep 2014
|
|
No additional comments posted.
|
|
Permanent Profit Inc.
|
Ontario Securities Commission |
Ontario
|
20140905
05 Sep 2014
|
|
Permanent Profit Inc. is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Forex Barter Inc.
|
Ontario Securities Commission |
Ontario
|
20140905
05 Sep 2014
|
|
Forex Barter Inc. is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Alimtiaz Gold Investment
|
Ontario Securities Commission |
Ontario
|
20140905
05 Sep 2014
|
|
Alimtiaz Gold Investment doing business as Alimtiaz Gold Investment and Alimtiaz Gold Fund is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Hexagon Capital Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140905
05 Sep 2014
|
|
No additional comments posted.
|
|
Green Seed Capital
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20140904
04 Sep 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
James Doyle
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140903
03 Sep 2014
|
|
No additional comments posted.
|
|
Gryf Bank SA
|
Polish Financial Supervision Authority |
Poland
|
20140903
03 Sep 2014
|
|
On March 2, 2015. District Court in Gryfino issued a final decision upholding the impugned decision to discontinue the proceedings.
|
|
Marcus KPO Services LLC
|
Financial Conduct Authority |
United Kingdom
|
20140902
02 Sep 2014
|
|
No additional comments posted.
|
|
Mitsubishi UFJ Financial Group Inc
|
Financial Conduct Authority |
United Kingdom
|
20140902
02 Sep 2014
|
|
No additional comments posted.
|
|
Stratford Private Equity PLC
|
Finansinspektionen |
Sweden
|
20140902
02 Sep 2014
|
|
No additional comments posted.
|
|
Parley Acquisition Group
|
Finansinspektionen |
Sweden
|
20140901
01 Sep 2014
|
|
No additional comments posted.
|
|
United Tax Strategies
|
Finansinspektionen |
Sweden
|
20140901
01 Sep 2014
|
|
No additional comments posted.
|
|
iStock Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140829
29 Aug 2014
|
|
No additional comments posted.
|
|
Tradmaker
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140829
29 Aug 2014
|
|
No additional comments posted.
|
|
eGun Becker
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140829
29 Aug 2014
|
|
No additional comments posted.
|
|
HYAM GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140829
29 Aug 2014
|
|
No additional comments posted.
|
|
Myers and Baker Associates
|
Finansinspektionen |
Sweden
|
20140829
29 Aug 2014
|
|
No additional comments posted.
|
|
Walters Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20140828
28 Aug 2014
|
|
No additional comments posted.
|
|
RSM & RB Finance AL
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140828
28 Aug 2014
|
|
No additional comments posted.
|
|
World Trade Consortium
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140828
28 Aug 2014
|
|
No additional comments posted.
|
|
CAS Securities
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140828
28 Aug 2014
|
|
No additional comments posted.
|
|
Swiss Asia Commodities Securities
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140828
28 Aug 2014
|
|
No additional comments posted.
|
|
Capital Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20140826
26 Aug 2014
|
|
No additional comments posted.
|
|
XP Markets - Tradmaker - Bank Of Market - Time Binary - Aston Markets / Aston Forex / Ebinaires - KD Markets and Tradaxa
|
Financial Services and Markets Authority |
Belgium
|
20140825
25 Aug 2014
|
|
warning
|
|
DEACON CORPORATE GROUP
|
Financial Conduct Authority |
United Kingdom
|
20140822
22 Aug 2014
|
|
No additional comments posted.
|
|
KEE GLOBAL CORP
|
Financial Conduct Authority |
United Kingdom
|
20140820
20 Aug 2014
|
|
No additional comments posted.
|
|
Hexagon Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20140820
20 Aug 2014
|
|
No additional comments posted.
|
|
Fanrong Capital
|
British Columbia Securities Commission |
British Columbia
|
20140819
19 Aug 2014
|
|
No additional comments posted.
|
|
Murray & Vincent Law Group
|
Finansinspektionen |
Sweden
|
20140819
19 Aug 2014
|
|
No additional comments posted.
|
|
Glacier Bay Capital LLC
|
Finansinspektionen |
Sweden
|
20140819
19 Aug 2014
|
|
No additional comments posted.
|
|
Global Proprietary Traders Inc. o/a Global Prop Traders
|
Ontario Securities Commission |
Ontario
|
20140818
18 Aug 2014
|
|
Global Proprietary Traders Inc. o/a Global Prop Trader doing business as www.globalproptraders.com and www.globalproptraders.ca is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing
more
|
|
Global Markets OOD Sp. z o.o. Oddział w Polsce
|
Polish Financial Supervision Authority |
Poland
|
20140818
18 Aug 2014
|
|
No additional comments posted.
|
|
Finexten Transition – Finexten SICAV P.L.C.
|
Malta Financial Services Authority |
Malta
|
20140818
18 Aug 2014
|
|
No additional comments posted.
|
|
Futur Market
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140814
14 Aug 2014
|
|
No additional comments posted.
|
|
Royal de Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140814
14 Aug 2014
|
|
No additional comments posted.
|
|
Clifton Capital Partners LLC
|
Finansinspektionen |
Sweden
|
20140814
14 Aug 2014
|
|
No additional comments posted.
|
|
Atlantic Mutual Int Ltd
|
Financial Conduct Authority |
United Kingdom
|
20140813
13 Aug 2014
|
|
Clone of FCA firm
|
|
Unregistered On-line trading platforms / Plateformes de négociation en ligne non inscrites
|
Autorité des marchés financiers |
Quebec
|
20140812
12 Aug 2014
|
|
The AMF is therefore providing investors with a list of websites which are not authorized to offer such investment products and services.
|
|
Warning about persons purporting to be acting for AMF
|
Autorité des marchés financiers |
Quebec
|
20140807
07 Aug 2014
|
|
The Québec Autorité des marchés financiers (the "AMF") is warning the public about e-mails sent by persons purporting to be employees of or consultants to the Autorité des marchés financiers of Québec or France asking for personal information.
more
|
|
Citystate Consulting Co.
|
Central Bank of Ireland |
Ireland
|
20140807
07 Aug 2014
|
|
Citystate Consulting Co. is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Infinity 2 Global
|
British Columbia Securities Commission |
British Columbia
|
20140806
06 Aug 2014
|
|
No additional comments posted.
|
|
Economists & Lawyers
|
British Columbia Securities Commission |
British Columbia
|
20140806
06 Aug 2014
|
|
No additional comments posted.
|
|
Hunt Acquisition Group
|
Central Bank of Ireland |
Ireland
|
20140806
06 Aug 2014
|
|
Hunt Acquisition Group is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
|
|
DCI Fund Managers Ireland PLC
|
Financial Conduct Authority |
United Kingdom
|
20140805
05 Aug 2014
|
|
Clone of FCA Registered Firm
|
|
Asian Futures Trading Group
|
Central Bank of Ireland |
Ireland
|
20140805
05 Aug 2014
|
|
Asian Futures Trading Group is not authorised to provide investment services in Ireland. The firm purports to be based in Hong Kong.
|
|
Capstone Alliance Group
|
Securities Commission |
Malaysia
|
20140801
01 Aug 2014
|
|
No additional comments posted.
|
|
Green Seed Capital
|
Danish Financial Supervisory Authority |
Denmark
|
20140731
31 Jul 2014
|
|
The Danish Financial Supervisory Authority has been informed that Green Seed Capital unsolicited has offered to carry out financial services. The company's address is 1 Harbour View Street, Central, Hong Kong and the company's homepage is www.greense
more
|
|
IBC Capital Limited (IBCFX)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140731
31 Jul 2014
|
|
No additional comments posted.
|
|
Willow and Black
|
Financial Conduct Authority |
United Kingdom
|
20140730
30 Jul 2014
|
|
No additional comments posted.
|
|
Inter Global Equity - Herrington Global - Meta Capital Partners Ltd - Sigma Capital Advisors - Ridgewood Securities
|
Financial Services and Markets Authority |
Belgium
|
20140729
29 Jul 2014
|
|
warning
|
|
OBmarkets - Good Option - Ubinary - Triumph Option - Bo Bank/Analysis Finance - BforBroker
|
Financial Services and Markets Authority |
Belgium
|
20140728
28 Jul 2014
|
|
warning
|
|
NRG Capital (CY) Limited o/a NRG Binary
|
Ontario Securities Commission |
Ontario
|
20140725
25 Jul 2014
|
|
NRG Capital (CY) Limited doing business as www.nrgbinary.com and www.nrgaffiliates.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Alternative Bridging Corporation
|
Financial Conduct Authority |
United Kingdom
|
20140724
24 Jul 2014
|
|
Clone of FCA authorised firm
|
|
UFX Trade Limited o/a UFX Markets
|
Ontario Securities Commission |
Ontario
|
20140723
23 Jul 2014
|
|
UFX Trade Limited doing business as www.ufxmarkets.com, www.ufxaffiliates.com, www.ufxpartners.com, and affiliates of UFX are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in,
more
|
|
Lefroy Hudson
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140723
23 Jul 2014
|
|
No additional comments posted.
|
|
Infinite Investment Wójcik i Wspólnicy Sp. k. (now: W & Associates J. Wójcik Sp. k.)
|
Polish Financial Supervision Authority |
Poland
|
20140723
23 Jul 2014
|
|
No additional comments posted.
|
|
Simple Assets TFI SA
|
Polish Financial Supervision Authority |
Poland
|
20140723
23 Jul 2014
|
|
No additional comments posted.
|
|
Thüngen Financial
|
Central Bank of Ireland |
Ireland
|
20140722
22 Jul 2014
|
|
Thüngen Financial is not authorised to provide investment services in Ireland. The firm purports to be based in Luxembourg.
|
|
Toth Vermögensverwaltung AG
|
Financial Market Authority |
Austria
|
20140721
21 Jul 2014
|
|
No additional comments posted.
|
|
Futurmarket / Royal de Bank
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140721
21 Jul 2014
|
|
No additional comments posted.
|
|
Matheson Wang Group
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20140716
16 Jul 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Hopler Global Investment Group
|
Central Bank of Ireland |
Ireland
|
20140716
16 Jul 2014
|
|
Hopler Global Investment Group is not authorised to provide investment services in Ireland. The firm purports to be based in Hong Kong.
|
|
Maplex Alliance Limited
|
Ontario Securities Commission |
Ontario
|
20140715
15 Jul 2014
|
|
Maplex Alliance Limited doing business as www.maplexalliance.webs.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Thüngen Financial
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140715
15 Jul 2014
|
|
No additional comments posted.
|
|
Clarion Equity Management
|
Central Bank of Ireland |
Ireland
|
20140711
11 Jul 2014
|
|
Clarion Equity Management is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
|
|
Springer Asset Management
|
Finansinspektionen |
Sweden
|
20140710
10 Jul 2014
|
|
No additional comments posted.
|
|
Brock Hartwick
|
Central Bank of Ireland |
Ireland
|
20140710
10 Jul 2014
|
|
Brock Hartwick is not authorised to provide investment services in Ireland. The firm purports to be based in the UK.
|
|
European Financial Markets Gmbh
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140709
09 Jul 2014
|
|
No additional comments posted.
|
|
Worth UK Limited - Venetfx
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140709
09 Jul 2014
|
|
No additional comments posted.
|
|
LK Advisors
|
Financial Conduct Authority |
United Kingdom
|
20140708
08 Jul 2014
|
|
Clone of FCA authorised firm
|
|
USG Holdings Ltd / United Securities Group
|
Securities and Futures Commission |
Hong Kong
|
20140707
07 Jul 2014
|
|
No additional comments posted.
|
|
www.bgcmarkets.net / www.bgcmarkets.org
|
Securities and Futures Commission |
Hong Kong
|
20140707
07 Jul 2014
|
|
No additional comments posted.
|
|
Avatar Finance Corporation
|
Ontario Securities Commission |
Ontario
|
20140704
04 Jul 2014
|
|
Avatar Finance Corporation, a subsidiary of Avatar Finance Group, doing business www.avatarfinancegroup.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selli
more
|
|
OptionRally Financial Services Ltd. dba OptionRally
|
British Columbia Securities Commission |
British Columbia
|
20140704
04 Jul 2014
|
|
No additional comments posted.
|
|
Update websites offering binary options trading
|
Autorité des marchés financiers |
France
|
20140703
03 Jul 2014
|
|
Update of the list of unauthorised websites offering trading in binary options.
|
|
Hargreave Hale
|
Financial Conduct Authority |
United Kingdom
|
20140702
02 Jul 2014
|
|
Clone of FCA authorised firm
|
|
Asiatic Associates / Asiatic Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20140702
02 Jul 2014
|
|
No additional comments posted.
|
|
Eagle Commerce Group
|
Financial Conduct Authority |
United Kingdom
|
20140702
02 Jul 2014
|
|
No additional comments posted.
|
|
Lansley Everett and Moore LLC
|
Financial Conduct Authority |
United Kingdom
|
20140702
02 Jul 2014
|
|
No additional comments posted.
|
|
Usurpation of AMF identity
|
Autorité des marchés financiers |
France
|
20140702
02 Jul 2014
|
|
Concerns activities of persons claiming to work for the AMF France
|
|
Rimas Risk Management Service
|
Financial Conduct Authority |
United Kingdom
|
20140701
01 Jul 2014
|
|
clone of EEA authorised firm
|
|
Knightsbridge Management International Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20140701
01 Jul 2014
|
|
clone of EEA authorised firm
|
|
Aries Ventures Inc
|
Finansinspektionen |
Sweden
|
20140701
01 Jul 2014
|
|
No additional comments posted.
|
|
Altivex Limited, ATM Holdings Limited, Blackrock Investments Limited, Brainerd Properties Limited, Decorcraft Limited, Eufala Investments Limited, First Lexington Holdings Limited, Saginaw Ventures Limited, Targaryen Holdings Limited
|
Gibraltar Financial Services Commission |
Gibraltar
|
20140701
01 Jul 2014
|
|
No additional comments posted.
|
|
Stealth Takeovers
|
Central Bank of Ireland |
Ireland
|
20140627
27 Jun 2014
|
|
Stealth Takeovers is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Connor Simmons Group
|
Central Bank of Ireland |
Ireland
|
20140627
27 Jun 2014
|
|
Connor Simmons Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Pika Management AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140627
27 Jun 2014
|
|
No additional comments posted.
|
|
Swiss Fund Monitoring Verification Commission Agency
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140625
25 Jun 2014
|
|
No additional comments posted.
|
|
Gresham Street Partners
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140625
25 Jun 2014
|
|
No additional comments posted.
|
|
Mallon Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140624
24 Jun 2014
|
|
No additional comments posted.
|
|
FIT Panama, Inc. and FIT Forex Investment Team AG
|
Superintendencia del Mercado de Valores |
Panama
|
20140623
23 Jun 2014
|
|
Company not registered
|
|
Sierra Finance Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20140623
23 Jun 2014
|
|
No additional comments posted.
|
|
Update unauthorised websites offering binary options
|
Autorité des marchés financiers |
France
|
20140620
20 Jun 2014
|
|
Update of the list of unauthorised websites offering binary options.
|
|
Forex Broker Inc. or Noble Services, Forex Club or Forex Club International Limited, Velarda Forex, Velarda Markets or Velarda and NDD Broker
|
Malta Financial Services Authority |
Malta
|
20140620
20 Jun 2014
|
|
No additional comments posted.
|
|
Stellar Worldwide LLC
|
Australian Securities and Investments Commission |
Australia
|
20140619
19 Jun 2014
|
|
No additional comments posted.
|
|
Sky Forex Broker
|
British Columbia Securities Commission |
British Columbia
|
20140618
18 Jun 2014
|
|
No additional comments posted.
|
|
Conglomerado de Servicios Múltiples Financieros ARKO S.A. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20140618
18 Jun 2014
|
|
Some people are impersonating the National Banking and Securities Commission (Comisión Nacional Bancaria y de Valores - CNBV) of Mexico, and are asking natural and legal persons located outside Mexico to transfer funds to a banking account in Mexico
more
|
|
Hewlett Partners Limited
|
Financial Conduct Authority |
United Kingdom
|
20140617
17 Jun 2014
|
|
No additional comments posted.
|
|
IPAM International Project Asset Management Ltd
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140617
17 Jun 2014
|
|
No additional comments posted.
|
|
Perkins Investment Group Inc.
|
British Columbia Securities Commission |
British Columbia
|
20140613
13 Jun 2014
|
|
No additional comments posted.
|
|
WM Bormla, WM Bormla Limited, WM Bormla Bank Limited and WM Bormla PLC
|
Malta Financial Services Authority |
Malta
|
20140613
13 Jun 2014
|
|
No additional comments posted.
|
|
CMBS Portfolio
|
Financial Conduct Authority |
United Kingdom
|
20140613
13 Jun 2014
|
|
No additional comments posted.
|
|
Elliott Associates
|
Finansinspektionen |
Sweden
|
20140613
13 Jun 2014
|
|
No additional comments posted.
|
|
CHANGSHENG ASSOCIATES/GENKAI SECURITIES
|
Financial Services and Markets Authority |
Belgium
|
20140612
12 Jun 2014
|
|
warning
|
|
D B Ingram and Associates LLP
|
Financial Conduct Authority |
United Kingdom
|
20140612
12 Jun 2014
|
|
No additional comments posted.
|
|
Seth Cohen LLP
|
Financial Conduct Authority |
United Kingdom
|
20140611
11 Jun 2014
|
|
No additional comments posted.
|
|
PL Securities
|
Financial Conduct Authority |
United Kingdom
|
20140611
11 Jun 2014
|
|
No additional comments posted.
|
|
The Corliss Group
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140611
11 Jun 2014
|
|
No additional comments posted.
|
|
Gestión, Productos y Bolsa, SL (Gesprobolsa)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140611
11 Jun 2014
|
|
No additional comments posted.
|
|
Delorean Family, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140611
11 Jun 2014
|
|
No additional comments posted.
|
|
BTC International Global Markets, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140611
11 Jun 2014
|
|
No additional comments posted.
|
|
InvestDiamond
|
Autorité des marchés financiers |
France
|
20140610
10 Jun 2014
|
|
Warning denouncing the use of the AMF's name in a press release on the Invest Diamond website.
|
|
InstaForex Company doing business as www.instaforex.com
|
Ontario Securities Commission |
Ontario
|
20140609
09 Jun 2014
|
|
InstaForex Company, a subsidiary of InstaForex Companies Group, doing business as www.instaforex.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling secu
more
|
|
Uinvest LLC
|
Polish Financial Supervision Authority |
Poland
|
20140609
09 Jun 2014
|
|
On January 22, 2015. District Court for Warszawa-Mokotów, issued a final decision dismissing a complaint against the Chairman of the KNF representative Prosecutor's decision to discontinue the proceedings.
|
|
Daido Holdings Group
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20140605
05 Jun 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
TJB Trading
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140605
05 Jun 2014
|
|
No additional comments posted.
|
|
Global Settlements Group
|
British Columbia Securities Commission |
British Columbia
|
20140604
04 Jun 2014
|
|
No additional comments posted.
|
|
Ava Trade Limited doing business as www.avatrade.com
|
Ontario Securities Commission |
Ontario
|
20140604
04 Jun 2014
|
|
Ava Trade Limited doing business as www.avatrade.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Keswick Capital Corp.
|
British Columbia Securities Commission |
British Columbia
|
20140604
04 Jun 2014
|
|
No additional comments posted.
|
|
American First City Corporation
|
Financial Conduct Authority |
United Kingdom
|
20140604
04 Jun 2014
|
|
No additional comments posted.
|
|
Brock Hartwick
|
Financial Conduct Authority |
United Kingdom
|
20140603
03 Jun 2014
|
|
No additional comments posted.
|
|
Taxwise Consultants and Financial Compensation Authority
|
Finansinspektionen |
Sweden
|
20140602
02 Jun 2014
|
|
No additional comments posted.
|
|
The OSW Partnership
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140529
29 May 2014
|
|
No additional comments posted.
|
|
www.sakofx.co
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140529
29 May 2014
|
|
No additional comments posted.
|
|
Versus Wealth Management, SARL, Sucursal en España
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140529
29 May 2014
|
|
No additional comments posted.
|
|
Hamilton Carter International Commodities
|
Financial Conduct Authority |
United Kingdom
|
20140529
29 May 2014
|
|
No additional comments posted.
|
|
London Prestige Capital Limited
|
Financial Conduct Authority |
United Kingdom
|
20140529
29 May 2014
|
|
No additional comments posted.
|
|
Assiprime Euro Brokering
|
Financial Conduct Authority |
United Kingdom
|
20140528
28 May 2014
|
|
Clone of EEA authorised firm
|
|
Cheyney Group
|
Finansinspektionen |
Sweden
|
20140528
28 May 2014
|
|
No additional comments posted.
|
|
Premier Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20140527
27 May 2014
|
|
No additional comments posted.
|
|
Ariad Financial Services
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20140526
26 May 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
ADVICE Lukasz Golawski
|
Polish Financial Supervision Authority |
Poland
|
20140523
23 May 2014
|
|
The decision to dismiss the investigation issued by the Regional Public Prosecutor in Warsaw on 12th November 2014 came into force on 9th January 2015
|
|
Lukas Kantor Securities
|
Financial Conduct Authority |
United Kingdom
|
20140523
23 May 2014
|
|
Clone of EEA authorised firm
|
|
Scott Thomas Wealth Advisory
|
Financial Conduct Authority |
United Kingdom
|
20140523
23 May 2014
|
|
No additional comments posted.
|
|
update - unauthorised websites offering binary options
|
Autorité des marchés financiers |
France
|
20140522
22 May 2014
|
|
Update regarding unauthorised websites offering binary options
|
|
Update unauthorised entities and websites offering Forex
|
Autorité des marchés financiers |
France
|
20140522
22 May 2014
|
|
Update of previous warnings regarding unauthorised entities and websites offering forex
|
|
Hartford Group International
|
Financial Conduct Authority |
United Kingdom
|
20140522
22 May 2014
|
|
No additional comments posted.
|
|
CP Brokers
|
Financial Conduct Authority |
United Kingdom
|
20140522
22 May 2014
|
|
Clone of EEA authorised firm
|
|
Aris UK Advisory
|
Financial Conduct Authority |
United Kingdom
|
20140522
22 May 2014
|
|
Clone of EEA authorised firm
|
|
TradeQuicker
|
British Columbia Securities Commission |
British Columbia
|
20140522
22 May 2014
|
|
No additional comments posted.
|
|
Stocks Trading One Spain, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140521
21 May 2014
|
|
No additional comments posted.
|
|
www.comisionesbroker.net
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140521
21 May 2014
|
|
No additional comments posted.
|
|
HPC Forex Trading
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140521
21 May 2014
|
|
HPC Forex Trading has no association whatsoever with the following French Company which is duly registered and authorised to provide investment services:
more
|
|
Hucaro Gestión Financiera y Desarrollo Patrimonial, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140521
21 May 2014
|
|
No additional comments posted.
|
|
GT Serv Corp
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140520
20 May 2014
|
|
No additional comments posted.
|
|
Caltherm Co. Private Equity LLC / American Committee of Regulation and Liquidation on Private Ventures
|
Finansinspektionen |
Sweden
|
20140516
16 May 2014
|
|
No additional comments posted.
|
|
FSM Polska Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20140515
15 May 2014
|
|
No additional comments posted.
|
|
Uslugi Handlowe PI Piotr Pisarek
|
Polish Financial Supervision Authority |
Poland
|
20140515
15 May 2014
|
|
No additional comments posted.
|
|
Asian Futures Trading Group
|
Securities and Futures Commission |
Hong Kong
|
20140515
15 May 2014
|
|
No additional comments posted.
|
|
Global GECR
|
Financial Conduct Authority |
United Kingdom
|
20140514
14 May 2014
|
|
No additional comments posted.
|
|
BNY Mellon Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20140512
12 May 2014
|
|
(Clone of brand name or trading style of UK FCA Authorised entities)
|
|
Baron Group Ltd
|
Financial Conduct Authority |
United Kingdom
|
20140512
12 May 2014
|
|
No additional comments posted.
|
|
VaultOptions Ltd. doing business as www.vaultoptions.com
|
Ontario Securities Commission |
Ontario
|
20140509
09 May 2014
|
|
VaultOptions Ltd. doing business as www.vaultoptions.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
CO.NET
|
Polish Financial Supervision Authority |
Poland
|
20140509
09 May 2014
|
|
No additional comments posted.
|
|
Karatbars International GmbH
|
British Columbia Securities Commission |
British Columbia
|
20140509
09 May 2014
|
|
No additional comments posted.
|
|
Forex Live Fx
|
Financial Services Commission |
Mauritius
|
20140507
07 May 2014
|
|
No additional comments posted.
|
|
LFG Investment Limited doing business as www.optionrally.com
|
Ontario Securities Commission |
Ontario
|
20140505
05 May 2014
|
|
LFG Investment Limited doing business as www.optionrally.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
DeltaFins Investments Inc.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140502
02 May 2014
|
|
No additional comments posted.
|
|
Goldman Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140430
30 Apr 2014
|
|
No additional comments posted.
|
|
Private Capital
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140430
30 Apr 2014
|
|
No additional comments posted.
|
|
AXA Investment Managers
|
Financial Conduct Authority |
United Kingdom
|
20140430
30 Apr 2014
|
|
Clone of FCA Authorised Firm
|
|
Stensland Pensjon og Finans ANS
|
Czech National Bank |
Czech Republic
|
20140430
30 Apr 2014
|
|
The Czech National Bank wishes to point out that the Norwegian company Stensland Pensjon og Finans ANS, which is offering the possibility of increasing the value of money either by depositing it on a saving account or investing in a mutual fund in Cz
more
|
|
Pluscapital Forex, S.L. (Pluscapital FX)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140430
30 Apr 2014
|
|
No additional comments posted.
|
|
Brunswick Capital
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140430
30 Apr 2014
|
|
No additional comments posted.
|
|
Mercxyz One Limited
|
Comisión Nacional del Mercado de Valores |
Spain
|
20140430
30 Apr 2014
|
|
No additional comments posted.
|
|
Niigata Global
|
Danish Financial Supervisory Authority |
Denmark
|
20140429
29 Apr 2014
|
|
The Danish Financial Supervisory Authority has been informed that Niigata Global unsolicited has offered to carry out financial services in Denmark. The company's address is 16th Fl., Sapia Tower 7-12, Marunouchi 1-chome, Chiyoda-ku, 100-0005 Tokyo,
more
|
|
Mercxyz One Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140429
29 Apr 2014
|
|
No additional comments posted.
|
|
KMI Consultants
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140429
29 Apr 2014
|
|
No additional comments posted.
|
|
Dupont Securities
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140429
29 Apr 2014
|
|
No additional comments posted.
|
|
Liberty Stone Financial
|
Financial Supervisory Commission |
Chinese Taipei
|
20140429
29 Apr 2014
|
|
Liberty Stone Financial claims to be a portfolio management firm with offices at No. 460 Xin Ji Road Section 4, Xinyi, Taipei, Taiwan. Our records show that Liberty Stone Financial does neither have a license in Taiwan to conduct securities businesse
more
|
|
Furlow Capital
|
Financial Supervisory Commission |
Chinese Taipei
|
20140429
29 Apr 2014
|
|
Furlow Capital claims to be an offshore asset management firm with offices at No. 460 Xin Ji Road Section 4, Xinyi, Taipei, Taiwan. Our records show that Furlow Capital does neither have a license in Taiwan to conduct securities businesses nor have a
more
|
|
Wallis Partridge LLC
|
British Columbia Securities Commission |
British Columbia
|
20140425
25 Apr 2014
|
|
No additional comments posted.
|
|
ING BANK N.V. (clone of EEA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20140425
25 Apr 2014
|
|
clone of EEA authorised firm
|
|
Zagreb Commerce Bank Switzerland
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140424
24 Apr 2014
|
|
No additional comments posted.
|
|
Wilkins Capital Group
|
Central Bank of Ireland |
Ireland
|
20140423
23 Apr 2014
|
|
Wilkins Capital Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
BNY Mellon Wealth Management (clone of authorised firm)
|
Finansinspektionen |
Sweden
|
20140422
22 Apr 2014
|
|
No additional comments posted.
|
|
Capital Hill Group
|
Financial Services and Markets Authority |
Belgium
|
20140422
22 Apr 2014
|
|
warning
|
|
Davis Ward & Beck Partners LLC
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20140417
17 Apr 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Century Direct Group Ltd
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20140417
17 Apr 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Lansley Everett and Moore LLC
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20140417
17 Apr 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
TJB Trading
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20140417
17 Apr 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Asian Futures Trading Group
|
Finansinspektionen |
Sweden
|
20140417
17 Apr 2014
|
|
No additional comments posted.
|
|
Universal Finance Bank
|
Finansinspektionen |
Sweden
|
20140417
17 Apr 2014
|
|
No additional comments posted.
|
|
Clearskies Group Ltd, Neltom Ltd and GF Trades
|
Finansinspektionen |
Sweden
|
20140417
17 Apr 2014
|
|
No additional comments posted.
|
|
Ashland Mergers & Acquisitions Management and Management and Offshore Securities Acquisition Commission
|
Finansinspektionen |
Sweden
|
20140417
17 Apr 2014
|
|
No additional comments posted.
|
|
Advantage Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20140416
16 Apr 2014
|
|
No additional comments posted.
|
|
Thomas Greene & Partners
|
Securities and Futures Commission |
Hong Kong
|
20140416
16 Apr 2014
|
|
No additional comments posted.
|
|
LSE Wealth Management Inc
|
Financial Conduct Authority |
United Kingdom
|
20140415
15 Apr 2014
|
|
No additional comments posted.
|
|
Morris Capital Partners
|
Finansinspektionen |
Sweden
|
20140415
15 Apr 2014
|
|
No additional comments posted.
|
|
Next Venture Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140414
14 Apr 2014
|
|
No additional comments posted.
|
|
TJB Trading
|
Financial Services and Markets Authority |
Belgium
|
20140414
14 Apr 2014
|
|
warning
|
|
BFXOption
|
Financial Services and Markets Authority |
Belgium
|
20140414
14 Apr 2014
|
|
warning
|
|
Lloyds International S.A.
|
British Columbia Securities Commission |
British Columbia
|
20140411
11 Apr 2014
|
|
No additional comments posted.
|
|
SVS Securities
|
Financial Conduct Authority |
United Kingdom
|
20140411
11 Apr 2014
|
|
Clone FCA Authorised Firm
|
|
Edward Evans
|
Financial Conduct Authority |
United Kingdom
|
20140410
10 Apr 2014
|
|
No additional comments posted.
|
|
BlackRock Offshore Bullion Investment Fund
|
Financial Conduct Authority |
United Kingdom
|
20140410
10 Apr 2014
|
|
(Non-existent Fund falsely purporting to be from an FCA Authorised Firm)
|
|
FXDealer, FX Dealer, FX Direct Dealer or Fxdealer.us and Sky Forex or Sky Forex Europe
|
Malta Financial Services Authority |
Malta
|
20140408
08 Apr 2014
|
|
No additional comments posted.
|
|
Stanford Crown Partners
|
Financial Conduct Authority |
United Kingdom
|
20140408
08 Apr 2014
|
|
No additional comments posted.
|
|
Alternative Markets
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140408
08 Apr 2014
|
|
No additional comments posted.
|
|
World Trade Consortium
|
Financial Market Authority |
Austria
|
20140407
07 Apr 2014
|
|
No additional comments posted.
|
|
Bronte Financial
|
Financial Market Authority |
Austria
|
20140407
07 Apr 2014
|
|
No additional comments posted.
|
|
www.cantormarketstrade.com
|
Securities and Futures Commission |
Hong Kong
|
20140407
07 Apr 2014
|
|
No additional comments posted.
|
|
Kingston Financial Group
|
Financial Conduct Authority |
United Kingdom
|
20140404
04 Apr 2014
|
|
Falsely claims to be FSA / FCA authorised
|
|
Rodeler Limited
|
Ontario Securities Commission |
Ontario
|
20140404
04 Apr 2014
|
|
Rodeler Limited doing business as 24option.com, 24fx.com, zoneoptions.com, grandoption.com and binaryoption-affiliate.com is not registered in Ontario, Canada to engage in the business of (i) trading in securities or (ii) advising anyone with respect
more
|
|
Alliance Capital Securities
|
Financial Conduct Authority |
United Kingdom
|
20140404
04 Apr 2014
|
|
No additional comments posted.
|
|
Forex Options Trading Clearing
|
Ontario Securities Commission |
Ontario
|
20140403
03 Apr 2014
|
|
Forex Options Trading Clearing doing business as forexoptionstraderplatform.com, mylloydstrader.com and mynctrading.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buy
more
|
|
Delta Clearing Inc.
|
Ontario Securities Commission |
Ontario
|
20140403
03 Apr 2014
|
|
Delta Clearing Inc. is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Lloyds International, S. A.
|
Ontario Securities Commission |
Ontario
|
20140403
03 Apr 2014
|
|
Lloyds International, S. A. doing business as http://lloydsint.com and mylloydtrading.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
HR Investment Group (a.k.a. High Returns Investment Group)
|
British Columbia Securities Commission |
British Columbia
|
20140403
03 Apr 2014
|
|
No additional comments posted.
|
|
CFS PLC
|
Financial Conduct Authority |
United Kingdom
|
20140403
03 Apr 2014
|
|
Falsely claims to be FCA authorised
|
|
RBC Wealth Management / Royal Bank of Canada Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20140403
03 Apr 2014
|
|
Clone of trading style of UK FCA Authorised and affiliated Genuine Firms
|
|
Furlow Capital
|
Securities and Futures Commission |
Hong Kong
|
20140402
02 Apr 2014
|
|
No additional comments posted.
|
|
Asian Acquisition Oversight Commitee
|
Finansinspektionen |
Sweden
|
20140401
01 Apr 2014
|
|
No additional comments posted.
|
|
Universe Citizen Limited (trading as FXCitizen)
|
Securities and Futures Commission |
Hong Kong
|
20140401
01 Apr 2014
|
|
No additional comments posted.
|
|
The Woo Group
|
Securities and Futures Commission |
Hong Kong
|
20140401
01 Apr 2014
|
|
No additional comments posted.
|
|
Guy DECLERCK - IZURO - DC - DCMI-U - ERMIS
|
Financial Services and Markets Authority |
Belgium
|
20140401
01 Apr 2014
|
|
warning
|
|
Walters Capital Group
|
Central Bank of Ireland |
Ireland
|
20140328
28 Mar 2014
|
|
Walters Capital Group is not authorised to provide investment services in Ireland. The firm purports to be based in USA.
|
|
TJB trading
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140327
27 Mar 2014
|
|
No additional comments posted.
|
|
Morris & Dazz Asset Evaluators Ltd.
|
Finansinspektionen |
Sweden
|
20140327
27 Mar 2014
|
|
No additional comments posted.
|
|
Blue Ribbon Financial
|
Finansinspektionen |
Sweden
|
20140324
24 Mar 2014
|
|
No additional comments posted.
|
|
Ashland Mergers & Acquisitions Management
|
Central Bank of Ireland |
Ireland
|
20140324
24 Mar 2014
|
|
Ashland Mergers & Acquisitions Management is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
|
|
Vantage Capital Research
|
Securities and Futures Commission |
Hong Kong
|
20140324
24 Mar 2014
|
|
No additional comments posted.
|
|
Herrington Global
|
Securities and Futures Commission |
Hong Kong
|
20140324
24 Mar 2014
|
|
No additional comments posted.
|
|
Ko Sin Corporation Limited
|
Securities and Futures Commission |
Hong Kong
|
20140321
21 Mar 2014
|
|
No additional comments posted.
|
|
Capital Strategies SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140320
20 Mar 2014
|
|
No additional comments posted.
|
|
Wealth Planning Solutions Europe
|
Financial Conduct Authority |
United Kingdom
|
20140320
20 Mar 2014
|
|
Clone of an EEA authorised firm
|
|
Devonshire Holdings
|
Financial Conduct Authority |
United Kingdom
|
20140320
20 Mar 2014
|
|
Clone of FCA registered firm
|
|
Southstar Holdings Limited
|
Securities and Futures Commission |
Hong Kong
|
20140320
20 Mar 2014
|
|
No additional comments posted.
|
|
Southstar Asset Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20140320
20 Mar 2014
|
|
No additional comments posted.
|
|
Southstar (Asia) Limited
|
Securities and Futures Commission |
Hong Kong
|
20140320
20 Mar 2014
|
|
No additional comments posted.
|
|
LSE Acquisitions
|
Securities and Futures Commission |
Hong Kong
|
20140320
20 Mar 2014
|
|
No additional comments posted.
|
|
FIndex9.com Limited
|
Securities and Futures Commission |
Hong Kong
|
20140320
20 Mar 2014
|
|
No additional comments posted.
|
|
IGK Broker Limited
|
Securities and Futures Commission |
Hong Kong
|
20140320
20 Mar 2014
|
|
No additional comments posted.
|
|
High-Yield Investment Programs
|
Autorité des marchés financiers |
Quebec
|
20140319
19 Mar 2014
|
|
The Autorité des marchés financiers ("AMF") is urging caution on the part of investors who might be lured by secret investment programs that suggest involvement by well-regarded international banks and promise enormous returns.
more
|
|
Global Intermediate Finance / The GIF Group / The GIF Group Zurich
|
Financial Conduct Authority |
United Kingdom
|
20140319
19 Mar 2014
|
|
No additional comments posted.
|
|
Pyramid scheme investment offers
|
Autorité des marchés financiers |
France
|
20140318
18 Mar 2014
|
|
Warning against pyramid scheme investment offers
|
|
RBOptions
|
Ontario Securities Commission |
Ontario
|
20140318
18 Mar 2014
|
|
RBOptions doing business as www.rboptions.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Hartford Group International
|
Financial Supervisory Commission |
Chinese Taipei
|
20140318
18 Mar 2014
|
|
Hartford Group International claims to be a brokerage firm with offices at 16 F No. 89 Songren Road, Taipei Xinyi District, Taipei, Taiwan. Our records show that Hartford Group International does neither have a license in Chinese Taipei to conduct se
more
|
|
Frontiers Group Global Investment or Frontiers Group Investment Ltd
|
Malta Financial Services Authority |
Malta
|
20140317
17 Mar 2014
|
|
No additional comments posted.
|
|
BlackRock Fund Managers Limited
|
Financial Conduct Authority |
United Kingdom
|
20140314
14 Mar 2014
|
|
Clone of an FCA Authorised Firm
|
|
Lin Warwick
|
Finansinspektionen |
Sweden
|
20140314
14 Mar 2014
|
|
No additional comments posted.
|
|
Herrington Global / Shenzhen Commodity Exchange
|
Finansinspektionen |
Sweden
|
20140314
14 Mar 2014
|
|
No additional comments posted.
|
|
Wealth Builder FX Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20140313
13 Mar 2014
|
|
No additional comments posted.
|
|
HKOTC
|
Securities and Futures Commission |
Hong Kong
|
20140313
13 Mar 2014
|
|
No additional comments posted.
|
|
WBlake
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140312
12 Mar 2014
|
|
No additional comments posted.
|
|
Concept Fund Solutions PLC
|
Financial Conduct Authority |
United Kingdom
|
20140312
12 Mar 2014
|
|
Clone of an FCA Authorised UCITS Fund
|
|
KTC Capital Management
|
Securities Commission |
Malaysia
|
20140312
12 Mar 2014
|
|
No additional comments posted.
|
|
Hong Kong Global Exchange Co. Ltd.
|
Securities and Futures Commission |
Hong Kong
|
20140312
12 Mar 2014
|
|
No additional comments posted.
|
|
TREBOL TRADING LLC
|
Financial Services and Markets Authority |
Belgium
|
20140311
11 Mar 2014
|
|
warning
|
|
WCM777
|
Autorité des marchés financiers |
Quebec
|
20140311
11 Mar 2014
|
|
The Autorité des marchés financiers (the AMF) is warning Québec consumers about an investment scheme marketed under the name WCM777. The scheme originated in California and is offered mainly as part of hotel presentations and through Internet ads and
more
|
|
Token Financial
|
Central Bank of Ireland |
Ireland
|
20140311
11 Mar 2014
|
|
Token Financial is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
TL Mallen, LLC.
|
Financial Conduct Authority |
United Kingdom
|
20140310
10 Mar 2014
|
|
No additional comments posted.
|
|
Wentworth Worldwide Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140310
10 Mar 2014
|
|
No additional comments posted.
|
|
FxGcmi, Global Capital Markets FX LLC or Global Capital Markets FX Ltd
|
Malta Financial Services Authority |
Malta
|
20140307
07 Mar 2014
|
|
No additional comments posted.
|
|
Investment Assurance Corporation
|
Finansinspektionen |
Sweden
|
20140307
07 Mar 2014
|
|
No additional comments posted.
|
|
China International Capital Corporation Limited (CICC)
|
Financial Conduct Authority |
United Kingdom
|
20140307
07 Mar 2014
|
|
Clone of the parent company of an FCA Authorised Firm
|
|
Doyle Hutton Associates
|
Securities and Futures Commission |
Hong Kong
|
20140307
07 Mar 2014
|
|
No additional comments posted.
|
|
Knox Securities Corp
|
Financial Conduct Authority |
United Kingdom
|
20140306
06 Mar 2014
|
|
No additional comments posted.
|
|
The Corliss Group
|
Finansinspektionen |
Sweden
|
20140305
05 Mar 2014
|
|
No additional comments posted.
|
|
Spencer and Richardson Financial
|
Financial Conduct Authority |
United Kingdom
|
20140303
03 Mar 2014
|
|
No additional comments posted.
|
|
HZ Capital
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140303
03 Mar 2014
|
|
No additional comments posted.
|
|
Brevan Howard Asset Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20140303
03 Mar 2014
|
|
No additional comments posted.
|
|
Triumph Financial Advisors Inc.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140303
03 Mar 2014
|
|
No additional comments posted.
|
|
The Platinum Capital Group
|
Securities and Futures Commission |
Hong Kong
|
20140303
03 Mar 2014
|
|
No additional comments posted.
|
|
Toyo Securities
|
Financial Conduct Authority |
United Kingdom
|
20140228
28 Feb 2014
|
|
Clone of Parent Company of Former FCA Authorised Firm
|
|
Marklin Investment Group
|
British Columbia Securities Commission |
British Columbia
|
20140227
27 Feb 2014
|
|
No additional comments posted.
|
|
Hoover Bright Independent Finance Advisory
|
Finansinspektionen |
Sweden
|
20140227
27 Feb 2014
|
|
No additional comments posted.
|
|
Global Brokers Asia
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20140227
27 Feb 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Hoover Bright Independent Finance Advisory
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20140227
27 Feb 2014
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
SMO Fitzgerald Global
|
Finansinspektionen |
Sweden
|
20140226
26 Feb 2014
|
|
No additional comments posted.
|
|
DFM Asset Management
|
Danish Financial Supervisory Authority |
Denmark
|
20140225
25 Feb 2014
|
|
The Danish Financial Supervisory Authority has been informed that DFM Asset Management unsolicited has offered to carry out financial services in Denmark. The company's address is 1 Robinson road; Singapore 039190. The company's homepage is http://ww
more
|
|
Abney Associates
|
Danish Financial Supervisory Authority |
Denmark
|
20140225
25 Feb 2014
|
|
The Danish Financial Supervisory Authority has been informed that Abney Associates unsolicited has offered to carry out financial services in Denmark. The company's address is 49/F Hopewell Centre, 183 Queen’s Road East, Hong Kong. The company's home
more
|
|
Trust Fund.pl
|
Polish Financial Supervision Authority |
Poland
|
20140225
25 Feb 2014
|
|
No additional comments posted.
|
|
Capital Action Limited
|
Securities and Futures Commission |
Hong Kong
|
20140225
25 Feb 2014
|
|
No additional comments posted.
|
|
Mondiaen Banker
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140225
25 Feb 2014
|
|
No additional comments posted.
|
|
Forex
|
Autorité des marchés financiers |
Quebec
|
20140224
24 Feb 2014
|
|
The Autorité des marchés financiers (the AMF) is warning Québec consumers about foreign currency investment offerings, in particular for the Iraqi dinar, the Vietnamese dong and the Egyptian pound.
more
|
|
Update - websites offering binary options
|
Autorité des marchés financiers |
France
|
20140224
24 Feb 2014
|
|
Update of previous warnings regarding unauthorised websites offering binary options
|
|
Private Capital
|
Autorité des marchés financiers |
France
|
20140224
24 Feb 2014
|
|
Warning regarding Private Capital
|
|
Triple A Consulting
|
Financial Market Authority |
Austria
|
20140224
24 Feb 2014
|
|
No additional comments posted.
|
|
Fanrong Capital
|
Financial Market Authority |
Austria
|
20140224
24 Feb 2014
|
|
No additional comments posted.
|
|
Affluential Group Corp.
|
Autorité des marchés financiers |
Quebec
|
20140224
24 Feb 2014
|
|
The Autorité des marchés financiers (the AMF) is warning Québec consumers about solicitations made through on-line ads encouraging them to purchase investment products related to Affluential Group Corp.
more
|
|
PRESTIGE BANQ
|
Financial Services and Markets Authority |
Belgium
|
20140220
20 Feb 2014
|
|
warning
|
|
Goldenschild Asset Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140220
20 Feb 2014
|
|
No additional comments posted.
|
|
Adlisberg Financial Inc.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140220
20 Feb 2014
|
|
No additional comments posted.
|
|
CNB Acquisitions Inc
|
Financial Conduct Authority |
United Kingdom
|
20140219
19 Feb 2014
|
|
No additional comments posted.
|
|
ABFX Ltd or ABFX Inc.
|
Malta Financial Services Authority |
Malta
|
20140219
19 Feb 2014
|
|
No additional comments posted.
|
|
Frost Capital Partners
|
Financial Market Authority |
Austria
|
20140218
18 Feb 2014
|
|
No additional comments posted.
|
|
Global-Consulting
|
Financial Market Authority |
Austria
|
20140218
18 Feb 2014
|
|
No additional comments posted.
|
|
Eurokasse New Zealand Limited
|
Financial Market Authority |
Austria
|
20140218
18 Feb 2014
|
|
No additional comments posted.
|
|
MilleCapitaux - Private & Investment Bankers
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140218
18 Feb 2014
|
|
No additional comments posted.
|
|
Solomon-Layb
|
Danish Financial Supervisory Authority |
Denmark
|
20140218
18 Feb 2014
|
|
The Danish Financial Supervisory Authority has been informed that Solomon-Layb unsolicited has offered to carry out financial services in Denmark. The company's address is Roppongi-Tower 7-10-2, Chiyoda Business Park, 2-5-4 Kojimachi, Chiyoda-ku Toky
more
|
|
Newport International Group
|
Danish Financial Supervisory Authority |
Denmark
|
20140218
18 Feb 2014
|
|
The Danish Financial Supervisory Authority has been informed that Newport International Group unsolicited has offered to carry out financial services in Denmark. The company's address is Level 7, Toranomon 40 MT Building 5-13-1, Toranomon, Minato-ku,
more
|
|
Koyal Group
|
Danish Financial Supervisory Authority |
Denmark
|
20140218
18 Feb 2014
|
|
The Danish Financial Supervisory Authority has been informed that Koyal Group unsolicited has offered to carry out financial services in Denmark. The company's address is Arca Central Building 14F 1-2-1 Kinshi Sumida-Ku, Tokyo Japan. The company's ho
more
|
|
Kirayaka International
|
Danish Financial Supervisory Authority |
Denmark
|
20140218
18 Feb 2014
|
|
The Danish Financial Supervisory Authority has been informed that Kirayaka International unsolicited has offered to carry out financial services in Denmark. The company's address is 17 th. Fl., Hibiya kokusai Building. 2-3, Uchisaiwai-cho 2-chome, Ch
more
|
|
Banque Privée Wehren & Cie
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140217
17 Feb 2014
|
|
No additional comments posted.
|
|
Palmer Smith Advisors
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140214
14 Feb 2014
|
|
No additional comments posted.
|
|
Helvetia Wealth AG
|
Central Bank of Ireland |
Ireland
|
20140214
14 Feb 2014
|
|
Helvetia Wealth AG is not authorised to provide investment services in Ireland. The firm purports to be based in Switzerland.
|
|
Schott-OFT
|
Securities and Futures Commission |
Hong Kong
|
20140214
14 Feb 2014
|
|
No additional comments posted.
|
|
Cedar Finance / T.B.S.F. Best Strategy Finance Limited
|
British Columbia Securities Commission |
British Columbia
|
20140213
13 Feb 2014
|
|
No additional comments posted.
|
|
Wine Street Investment Management
|
Central Bank of Ireland |
Ireland
|
20140213
13 Feb 2014
|
|
Wine Street Investment Management is not authorised to provide investment services in Ireland
|
|
Shearin Group
|
Danish Financial Supervisory Authority |
Denmark
|
20140213
13 Feb 2014
|
|
The Danish Financial Supervisory Authority has been informed that Shearin Group unsolicited has offered to carry out financial services in Denmark. The company's addresses are Level 3, 17 Square Edouard VII, Paris 75009, France and 15/F Millennium Ci
more
|
|
Investec Capital Coporation
|
Financial Conduct Authority |
United Kingdom
|
20140213
13 Feb 2014
|
|
Clone of an FCA Authorised Firm
|
|
Braun & Bach Finanzdienstleistungen
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140213
13 Feb 2014
|
|
No additional comments posted.
|
|
Asia World Capital
|
Financial Conduct Authority |
United Kingdom
|
20140213
13 Feb 2014
|
|
No additional comments posted.
|
|
Bitcoin
|
Autorité des marchés financiers |
Quebec
|
20140212
12 Feb 2014
|
|
he Autorité des marchés financiers (AMF) is cautioning Quebeckers about the introduction of the first dispensing machine for virtual currency, such as Bitcoin, at certain businesses in Québec.
more
|
|
White-Miller Associates
|
Securities and Futures Commission |
Hong Kong
|
20140212
12 Feb 2014
|
|
No additional comments posted.
|
|
Ventura Capital Consultancy Services
|
Financial Conduct Authority |
United Kingdom
|
20140211
11 Feb 2014
|
|
Clone of a former FCA Registered Firm
|
|
First Catholic Financial
|
Finansinspektionen |
Sweden
|
20140211
11 Feb 2014
|
|
No additional comments posted.
|
|
UNIVERSUM Business Consulting Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20140211
11 Feb 2014
|
|
The District Court for Krakow-Downtown II Criminal Division issued on July 15, 2014, a judgment conditionally discontinuing (file no. act II K 606/14/S).
|
|
Simple Assets Towarzystwo Funduszy Inwestycyjnych S.A.
|
Polish Financial Supervision Authority |
Poland
|
20140211
11 Feb 2014
|
|
No additional comments posted.
|
|
Asset Capital Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140211
11 Feb 2014
|
|
No additional comments posted.
|
|
Axatrades
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140211
11 Feb 2014
|
|
No additional comments posted.
|
|
Global Trader 365 Ltd. doing business as www.globaltrader365.com
|
Ontario Securities Commission |
Ontario
|
20140207
07 Feb 2014
|
|
Global Trader 365 Ltd. doing business as www.globaltrader365.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
HR Investment Group (aka High Returns Investment Group) doing business as www.hrinvestment.webs.com
|
Ontario Securities Commission |
Ontario
|
20140207
07 Feb 2014
|
|
HR Investment Group doing business as www.hrinvestment.webs.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
UK RBB Barclays Business
|
Financial Conduct Authority |
United Kingdom
|
20140207
07 Feb 2014
|
|
Clone of FCA Authorised Firm
|
|
Estlander & Ronnlund Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20140206
06 Feb 2014
|
|
Cloning of EEA Authorised Firm
|
|
KLMex
|
Securities Commission |
Malaysia
|
20140206
06 Feb 2014
|
|
The entity named "The Kuala Lumpur Mercantile Exchange" with URL: www.klmex.org and e-mail address info@klmex.org is not an entity registered with the Securities Commission Malaysia. Any future mercantile exchange approved by the related authorities
more
|
|
Invest Online Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140205
05 Feb 2014
|
|
No additional comments posted.
|
|
G.W. Trust and Transfer
|
British Columbia Securities Commission |
British Columbia
|
20140204
04 Feb 2014
|
|
No additional comments posted.
|
|
New Zealand Capital Finance
|
Financial Markets Authority |
New Zealand
|
20140204
04 Feb 2014
|
|
False/misleading advertising
|
|
Danske Capital
|
Financial Conduct Authority |
United Kingdom
|
20140204
04 Feb 2014
|
|
Clone of an FCA Authorised Firm
|
|
AFI - ALTERNATIVE FINANCIAL INVESTMENTS
|
Financial Conduct Authority |
United Kingdom
|
20140203
03 Feb 2014
|
|
No additional comments posted.
|
|
Baxter-Stanley and Associates
|
Finansinspektionen |
Sweden
|
20140131
31 Jan 2014
|
|
No additional comments posted.
|
|
NOVA PORTFOLIO MANAGERS
|
Financial Conduct Authority |
United Kingdom
|
20140131
31 Jan 2014
|
|
Clone of an EEA Authorised Firm
|
|
Global Investment Bank (IOM) Ltd & Global Investment Bank Offshore Services Limited
|
Isle of Man Financial Services Authority |
Isle of Man
|
20140130
30 Jan 2014
|
|
Bogus entities claiming to be licensed and regulated by Isle of Man Financial Supervision Commission
|
|
Winston & Churchill Private Equity
|
Isle of Man Financial Services Authority |
Isle of Man
|
20140130
30 Jan 2014
|
|
Bogus entity claiming to be based in the Isle of Man
|
|
Unauthorised entities and websites offering forex
|
Autorité des marchés financiers |
France
|
20140130
30 Jan 2014
|
|
New updated list of websites and entities offering forex investments.
|
|
Kaizen Pacific
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140130
30 Jan 2014
|
|
No additional comments posted.
|
|
IFS – International Financial Services Inc.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140130
30 Jan 2014
|
|
No additional comments posted.
|
|
The Tunstall Group
|
Finansinspektionen |
Sweden
|
20140129
29 Jan 2014
|
|
No additional comments posted.
|
|
Rhinehart Global Ltd. doing business as www.rhinehartglobal.com and www.rhinehartglobal.net
|
Ontario Securities Commission |
Ontario
|
20140129
29 Jan 2014
|
|
Rhinehart Global Ltd. doing business as www.rhinehartglobal.com and www.rhinehartglobal.net is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
IQ Holding International S.A. doing business as www.iqhinternational.com
|
Ontario Securities Commission |
Ontario
|
20140129
29 Jan 2014
|
|
IQ Holding International S.A. doing business as www.iqhinternational.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Norex Trade Advisors
|
Ontario Securities Commission |
Ontario
|
20140129
29 Jan 2014
|
|
Norex Trade Advisors doing business as www.norexadvisorsonline.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
ProTec Advisors
|
Ontario Securities Commission |
Ontario
|
20140129
29 Jan 2014
|
|
ProTec Advisors doing business as protecadvisorsonline.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Fortress Global Markets, SARL
|
Ontario Securities Commission |
Ontario
|
20140129
29 Jan 2014
|
|
Fortress Global Markets, SARL doing business as www.fxfortress.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Al Reen Capital
|
Financial Conduct Authority |
United Kingdom
|
20140129
29 Jan 2014
|
|
Firm is falsely purporting to be authorised by the FCA, thereby breaching section 24 FSMA 2000
|
|
Ledbury Moore
|
Financial Conduct Authority |
United Kingdom
|
20140129
29 Jan 2014
|
|
No additional comments posted.
|
|
Bronte Financial
|
Finansinspektionen |
Sweden
|
20140129
29 Jan 2014
|
|
No additional comments posted.
|
|
Furlow Capital
|
Finansinspektionen |
Sweden
|
20140128
28 Jan 2014
|
|
No additional comments posted.
|
|
Dr. Christian Fischer
|
Financial Market Authority |
Austria
|
20140127
27 Jan 2014
|
|
No additional comments posted.
|
|
Kanagawa Associates
|
Finansinspektionen |
Sweden
|
20140124
24 Jan 2014
|
|
No additional comments posted.
|
|
WorldBridge Securities
|
Financial Services Commission |
Mauritius
|
20140124
24 Jan 2014
|
|
No additional comments posted.
|
|
Update -websites offering binary options
|
Autorité des marchés financiers |
France
|
20140124
24 Jan 2014
|
|
Update of warnings issued regarding websites offering binary options trading, for which no authorised investment services provider could be clearly identified
|
|
Redford Securities International
|
Financial Conduct Authority |
United Kingdom
|
20140123
23 Jan 2014
|
|
No additional comments posted.
|
|
Great Wall Asset Management Corp
|
Securities and Futures Commission |
Hong Kong
|
20140123
23 Jan 2014
|
|
No additional comments posted.
|
|
AVANTI HOLDINGS-INTERFINANZAS ADVISORS CORP-IBS CONSULTING GROUP
|
Superintendencia del Mercado de Valores |
Panama
|
20140121
21 Jan 2014
|
|
Companies not registered
|
|
NORD FX
|
Superintendencia del Mercado de Valores |
Panama
|
20140121
21 Jan 2014
|
|
Company not registered
|
|
Sierra Finance Asset Management
|
Finansinspektionen |
Sweden
|
20140121
21 Jan 2014
|
|
No additional comments posted.
|
|
Cayman Asset Management
|
Finansinspektionen |
Sweden
|
20140121
21 Jan 2014
|
|
No additional comments posted.
|
|
ForexTrada
|
Financial Services and Markets Authority |
Belgium
|
20140121
21 Jan 2014
|
|
warning
|
|
Chelsea Financial
|
Financial Conduct Authority |
United Kingdom
|
20140121
21 Jan 2014
|
|
Clone of FCA authorised firm
|
|
Brookes and Hargreaves
|
Financial Conduct Authority |
United Kingdom
|
20140120
20 Jan 2014
|
|
No additional comments posted.
|
|
Strategic Private Equity LLC
|
Financial Conduct Authority |
United Kingdom
|
20140120
20 Jan 2014
|
|
Updated alert
|
|
Mesirow Financial
|
Financial Conduct Authority |
United Kingdom
|
20140120
20 Jan 2014
|
|
clone of FCA authorised firm
|
|
FutureBarrel.com
|
British Columbia Securities Commission |
British Columbia
|
20140118
18 Jan 2014
|
|
No additional comments posted.
|
|
MONTALVO ASSET MANAGEMENT Sàrl, en liquidation
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140117
17 Jan 2014
|
|
No additional comments posted.
|
|
Galaxy Investment Management Limited
|
Ontario Securities Commission |
Ontario
|
20140116
16 Jan 2014
|
|
Galaxy Investment Management Limited doing business as www.gimsafeinvestor.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Clairmont Capital Partners
|
Finansinspektionen |
Sweden
|
20140116
16 Jan 2014
|
|
No additional comments posted.
|
|
Charterhouse Wealth Management
|
Finansinspektionen |
Sweden
|
20140116
16 Jan 2014
|
|
No additional comments posted.
|
|
IDELSON GROUP - TAIWAN OPTIONS AND FUTURES EXCHANGES
|
Financial Services and Markets Authority |
Belgium
|
20140116
16 Jan 2014
|
|
warning
|
|
Capital Trust Management
|
Financial Market Authority |
Austria
|
20140116
16 Jan 2014
|
|
No additional comments posted.
|
|
NEA Europe Limited
|
Financial Market Authority |
Austria
|
20140116
16 Jan 2014
|
|
No additional comments posted.
|
|
Dyman Associates
|
Financial Market Authority |
Austria
|
20140116
16 Jan 2014
|
|
No additional comments posted.
|
|
1st American Securities
|
Finansinspektionen |
Sweden
|
20140116
16 Jan 2014
|
|
No additional comments posted.
|
|
Glendale Growth & Trust
|
British Columbia Securities Commission |
British Columbia
|
20140114
14 Jan 2014
|
|
The B.C. Securities Commission is posting a Consumer Advisory on behalf of the Financial Services Regulation Division of Newfoundland and Labrador, relating to Glendale Growth & Trust and Leonard (Lennie) Goldman.
|
|
JARVIS COHEN ASSOCIATES
|
Financial Conduct Authority |
United Kingdom
|
20140114
14 Jan 2014
|
|
No additional comments posted.
|
|
Swiss Wealth Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140114
14 Jan 2014
|
|
No additional comments posted.
|
|
Reid & Stone Ventures
|
Finansinspektionen |
Sweden
|
20140114
14 Jan 2014
|
|
No additional comments posted.
|
|
Global Brokers Asia
|
Securities and Futures Commission |
Hong Kong
|
20140114
14 Jan 2014
|
|
No additional comments posted.
|
|
RBOptions
|
British Columbia Securities Commission |
British Columbia
|
20140110
10 Jan 2014
|
|
No additional comments posted.
|
|
TELETRADE
|
Comissão de Valores Mobiliários |
Brazil
|
20140110
10 Jan 2014
|
|
Unauthorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
more
|
|
Vestcor
|
Finansinspektionen |
Sweden
|
20140110
10 Jan 2014
|
|
No additional comments posted.
|
|
Morris Capital Partners
|
Securities and Futures Commission |
Hong Kong
|
20140110
10 Jan 2014
|
|
No additional comments posted.
|
|
Dyman Associates
|
Finansinspektionen |
Sweden
|
20140109
09 Jan 2014
|
|
No additional comments posted.
|
|
Bulls Capital Markets
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20140109
09 Jan 2014
|
|
No additional comments posted.
|
|
Invest-re Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140108
08 Jan 2014
|
|
No additional comments posted.
|
|
Swiss Capital and Guarantee
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20140108
08 Jan 2014
|
|
No additional comments posted.
|
|
Harden-Krause Private Equity Ltd
|
Finansinspektionen |
Sweden
|
20140107
07 Jan 2014
|
|
No additional comments posted.
|
|
Ramsey Investment Partners
|
Finansinspektionen |
Sweden
|
20140107
07 Jan 2014
|
|
No additional comments posted.
|
|
DAB Asia Limited
|
Securities and Futures Commission |
Hong Kong
|
20140107
07 Jan 2014
|
|
No additional comments posted.
|
|
Inter Global Equity
|
Securities and Futures Commission |
Hong Kong
|
20140107
07 Jan 2014
|
|
No additional comments posted.
|
|
Amber Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20131231
31 Dec 2013
|
|
Firm is cloning details of FCA Authorised Firm and UK incorporated companies.
|
|
Zaklad Ekspertyz Gospodarczych Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20131230
30 Dec 2013
|
|
No additional comments posted.
|
|
Mintan Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20131230
30 Dec 2013
|
|
Prosecutor's Office in Warsaw decision of 12 March 2015. remitted investigation.
|
|
Euro Asian Securities
|
Securities Commission |
Malaysia
|
20131230
30 Dec 2013
|
|
No additional comments posted.
|
|
Westberg Equity Research Corp (WERC)
|
Financial Conduct Authority |
United Kingdom
|
20131227
27 Dec 2013
|
|
may also use the name Westburg Equity
|
|
Cayman Asset Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131220
20 Dec 2013
|
|
No additional comments posted.
|
|
Wiin International Group Ltd
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131220
20 Dec 2013
|
|
No additional comments posted.
|
|
Leighton Corporate Services. LLC.
|
Central Bank of Ireland |
Ireland
|
20131220
20 Dec 2013
|
|
Leighton Corporate Services, LLC. is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Kingsley Advice Group
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20131219
19 Dec 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Fast Line Legal
|
Financial Conduct Authority |
United Kingdom
|
20131219
19 Dec 2013
|
|
No additional comments posted.
|
|
HSL Acquisitions Inc / HSL Acquisitions
|
Securities and Futures Commission |
Hong Kong
|
20131218
18 Dec 2013
|
|
No additional comments posted.
|
|
Bio-Investor Ltd.
|
Polish Financial Supervision Authority |
Poland
|
20131217
17 Dec 2013
|
|
No additional comments posted.
|
|
Unauthorised entities and websites offering Forex
|
Autorité des marchés financiers |
France
|
20131217
17 Dec 2013
|
|
Updated list of websites and entities offering investments on the unregulated
more
|
|
Areal Equity Capital AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131217
17 Dec 2013
|
|
No additional comments posted.
|
|
Xinagasia Marketing Corp.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131217
17 Dec 2013
|
|
No additional comments posted.
|
|
Leighton Corporate Services LLC
|
Financial Conduct Authority |
United Kingdom
|
20131216
16 Dec 2013
|
|
No additional comments posted.
|
|
First Trade Europe
|
Securities and Futures Commission |
Hong Kong
|
20131216
16 Dec 2013
|
|
No additional comments posted.
|
|
JCI Asset Inc
|
Finansinspektionen |
Sweden
|
20131212
12 Dec 2013
|
|
No additional comments posted.
|
|
Glendale Growth & Trust
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131211
11 Dec 2013
|
|
No additional comments posted.
|
|
Win Holding AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131211
11 Dec 2013
|
|
No additional comments posted.
|
|
Win Energie Invest GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131211
11 Dec 2013
|
|
No additional comments posted.
|
|
Fraudsters claiming to represent the AMF
|
Autorité des marchés financiers |
France
|
20131209
09 Dec 2013
|
|
Warning regardind fraudsters claiming to represent or to work for the AMF and proposing trades on unauthorised binary option websites
|
|
Goldman Capital
|
Autorité des marchés financiers |
France
|
20131209
09 Dec 2013
|
|
Warning concerning Goldman Capital
|
|
DeVere Group UK
|
Financial Conduct Authority |
United Kingdom
|
20131209
09 Dec 2013
|
|
Firm is cloning the name and the address of the FCA Authorised Firm.
|
|
JCI Asset Inc.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131209
09 Dec 2013
|
|
No additional comments posted.
|
|
trade-your.com
|
Isle of Man Financial Services Authority |
Isle of Man
|
20131209
09 Dec 2013
|
|
Bogus entity claiming to be located in Isle of Man using website www.trade-your.com
|
|
Endeavour Assets
|
Isle of Man Financial Services Authority |
Isle of Man
|
20131209
09 Dec 2013
|
|
Bogus entity claiming to be located in Isle of Man using website endeavourassets.co.uk
|
|
PrivateFX
|
Australian Securities and Investments Commission |
Australia
|
20131209
09 Dec 2013
|
|
No additional comments posted.
|
|
Xinda Management Group
|
Australian Securities and Investments Commission |
Australia
|
20131209
09 Dec 2013
|
|
No additional comments posted.
|
|
SCFS Trading Limited
|
Australian Securities and Investments Commission |
Australia
|
20131209
09 Dec 2013
|
|
No additional comments posted.
|
|
KSI / Karamanof (may also use Karamanof Securities & Investment Services)
|
Financial Conduct Authority |
United Kingdom
|
20131209
09 Dec 2013
|
|
Firm is cloning details of FCA EEA Authorised Firm.
|
|
Dingfeng International Corporation
|
Securities and Futures Commission |
Hong Kong
|
20131206
06 Dec 2013
|
|
No additional comments posted.
|
|
GroupCPI
|
Financial Services and Markets Authority |
Belgium
|
20131205
05 Dec 2013
|
|
warning
|
|
GE Wealth Management (clone of FCA authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20131205
05 Dec 2013
|
|
Firm is cloning the name of a FCA authorised firm. It is also using the FCA logo.
|
|
Forex Worldwide Ltd and ToroPROfit
|
Malta Financial Services Authority |
Malta
|
20131205
05 Dec 2013
|
|
No additional comments posted.
|
|
FIRKIN ASSET CONSULTANTS
|
Financial Conduct Authority |
United Kingdom
|
20131204
04 Dec 2013
|
|
No additional comments posted.
|
|
First Trade Europe
|
Financial Conduct Authority |
United Kingdom
|
20131204
04 Dec 2013
|
|
Firm is cloning details of previously FCA EEA Authorised firm.
|
|
FOREX - Reliantco Investments Limited
|
Autorité des marchés financiers |
Quebec
|
20131203
03 Dec 2013
|
|
The Autorité des marchés financiers (the AMF) is cautioning investors about solicitations promoting UFX Markets, a foreign currency trading platform operated by Reliantco Investments Limited, a company based in Cyprus that is not authorized to do bus
more
|
|
CAM Energy SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131203
03 Dec 2013
|
|
No additional comments posted.
|
|
Regium Commodity Trading Advisor Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20131203
03 Dec 2013
|
|
The decision not to initiate an investigation issued by the Regional Public Prosecutor in Warsaw on 18th December 2013 came into force on 11th April 2014.
|
|
Lee, Young & Chan
|
Securities and Futures Commission |
Hong Kong
|
20131203
03 Dec 2013
|
|
No additional comments posted.
|
|
Ava Capital Markets
|
Financial Conduct Authority |
United Kingdom
|
20131202
02 Dec 2013
|
|
Firm is cloning details of FCA EEA Authorised Firm.
|
|
Axis-Capital Ltd.
|
Financial Market Authority |
Austria
|
20131202
02 Dec 2013
|
|
No additional comments posted.
|
|
Takeshi Venture Capital
|
Financial Market Authority |
Austria
|
20131202
02 Dec 2013
|
|
No additional comments posted.
|
|
Strategic Private Equity LLC
|
Financial Market Authority |
Austria
|
20131202
02 Dec 2013
|
|
No additional comments posted.
|
|
REALPROJECTS24 COOPERATION AG bzw. REALRPOJECTS24 COOPERATION LTD. Belize & Realprojects24 Co. LTd Thailand
|
Financial Market Authority |
Austria
|
20131202
02 Dec 2013
|
|
No additional comments posted.
|
|
Global Reach Asset Management
|
Financial Market Authority |
Austria
|
20131202
02 Dec 2013
|
|
No additional comments posted.
|
|
Fenka Rafal trytko
|
Polish Financial Supervision Authority |
Poland
|
20131129
29 Nov 2013
|
|
No additional comments posted.
|
|
Next Financial Network
|
Financial Conduct Authority |
United Kingdom
|
20131129
29 Nov 2013
|
|
No additional comments posted.
|
|
Mission Mining Company
|
British Columbia Securities Commission |
British Columbia
|
20131128
28 Nov 2013
|
|
No additional comments posted.
|
|
Cover Capital Partners
|
Finansinspektionen |
Sweden
|
20131128
28 Nov 2013
|
|
No additional comments posted.
|
|
Ulverston Offshore Bank
|
Jersey Financial Services Commission |
Jersey
|
20131128
28 Nov 2013
|
|
No additional comments posted.
|
|
Surplus Finance S.A.
|
Financial Services Commission |
Mauritius
|
20131128
28 Nov 2013
|
|
No additional comments posted.
|
|
BFS Markets Ltd
|
Financial Services Commission |
Mauritius
|
20131128
28 Nov 2013
|
|
No additional comments posted.
|
|
NCP Financials (may also use the name "Northland")
|
Financial Conduct Authority |
United Kingdom
|
20131127
27 Nov 2013
|
|
Firm is cloning details of FCA Authorised Firm
|
|
www.forextotal.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20131127
27 Nov 2013
|
|
No additional comments posted.
|
|
Capital Eurasia
|
Securities and Futures Commission |
Hong Kong
|
20131127
27 Nov 2013
|
|
No additional comments posted.
|
|
GLOBALEYE SPRL
|
Financial Services and Markets Authority |
Belgium
|
20131126
26 Nov 2013
|
|
warning
|
|
Edge Capital Markets
|
Financial Conduct Authority |
United Kingdom
|
20131125
25 Nov 2013
|
|
No additional comments posted.
|
|
Binary Option Live Signals
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131122
22 Nov 2013
|
|
No additional comments posted.
|
|
Hadfield Resources SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131122
22 Nov 2013
|
|
No additional comments posted.
|
|
Qualified FX SA doing business as qualifiedfx.com and qualifiedfx.net
|
Ontario Securities Commission |
Ontario
|
20131121
21 Nov 2013
|
|
Qualified FX SA doing business as qualifiedfx.com and qualifiedfx.net is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
CAPITALES FIJOS, S. A.
|
Superintendencia del Mercado de Valores |
Panama
|
20131121
21 Nov 2013
|
|
Company not registered.
|
|
Nomura Financial
|
Securities and Futures Commission |
Hong Kong
|
20131121
21 Nov 2013
|
|
No additional comments posted.
|
|
Allied Global Holdings
|
Securities and Futures Commission |
Hong Kong
|
20131121
21 Nov 2013
|
|
No additional comments posted.
|
|
Wave Star Trading Company Ltd/ Wavestar Trading Company Ltd/ Wavestar Mystery Forex
|
Securities and Futures Commission |
Hong Kong
|
20131120
20 Nov 2013
|
|
No additional comments posted.
|
|
Grupo Levys Conseil et Gestion
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131119
19 Nov 2013
|
|
No additional comments posted.
|
|
Frost Capital Partners
|
Finansinspektionen |
Sweden
|
20131118
18 Nov 2013
|
|
No additional comments posted.
|
|
Strategic Private Equity LLC
|
Finansinspektionen |
Sweden
|
20131118
18 Nov 2013
|
|
No additional comments posted.
|
|
Firkin Asset Consultants
|
Finansinspektionen |
Sweden
|
20131118
18 Nov 2013
|
|
No additional comments posted.
|
|
Aspen Capital LLC
|
Finansinspektionen |
Sweden
|
20131118
18 Nov 2013
|
|
No additional comments posted.
|
|
Sachs Trust
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131114
14 Nov 2013
|
|
No additional comments posted.
|
|
Meta Trade Forex & Finance Group Inc.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20131113
13 Nov 2013
|
|
Operating as FX Meta Trade - unauthorised investment business
|
|
Win Win International Investments Limited
|
Securities and Futures Commission |
Hong Kong
|
20131113
13 Nov 2013
|
|
No additional comments posted.
|
|
Board of International Finance
|
Financial Conduct Authority |
United Kingdom
|
20131111
11 Nov 2013
|
|
No additional comments posted.
|
|
CMBS Portfolio, LLC.
|
Central Bank of Ireland |
Ireland
|
20131111
11 Nov 2013
|
|
CMBS Portfolio, LLC. is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Hong Kong Eshirong Financial Investment
|
Securities and Futures Commission |
Hong Kong
|
20131111
11 Nov 2013
|
|
No additional comments posted.
|
|
SMG Swiss Mining Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131111
11 Nov 2013
|
|
No additional comments posted.
|
|
Banc54 / B54 Technologies Limited
|
Securities and Futures Commission |
Hong Kong
|
20131111
11 Nov 2013
|
|
No additional comments posted.
|
|
Zakra Corp Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20131108
08 Nov 2013
|
|
No additional comments posted.
|
|
Global Corporate Partners
|
Financial Conduct Authority |
United Kingdom
|
20131107
07 Nov 2013
|
|
No additional comments posted.
|
|
Pictet Private Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20131107
07 Nov 2013
|
|
Clone of FCA authorised firm
|
|
CapitalFrance
|
Autorité des marchés financiers |
France
|
20131105
05 Nov 2013
|
|
Warning regarding CapitalFrance
|
|
Ramsey Investment Partners
|
Securities and Futures Commission |
Hong Kong
|
20131105
05 Nov 2013
|
|
No additional comments posted.
|
|
Novee Forex doing business as www.noveeforex.com
|
Ontario Securities Commission |
Ontario
|
20131101
01 Nov 2013
|
|
Novee Forex is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Pan American Global Partners
|
Financial Conduct Authority |
United Kingdom
|
20131101
01 Nov 2013
|
|
No additional comments posted.
|
|
World Capital Consultants
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20131031
31 Oct 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Hudson Strategic Partners
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20131031
31 Oct 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Sovereign Wealth Capital
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20131031
31 Oct 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Guozijian Capital
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20131031
31 Oct 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Foerster Consulting Ltd.
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20131031
31 Oct 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
MAV-Group Ltd.
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20131031
31 Oct 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Global Equity Group
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20131031
31 Oct 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Deutsche Policen Aufwertung AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131030
30 Oct 2013
|
|
No additional comments posted.
|
|
Freeman & Rosenberg Finance Solutions
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131030
30 Oct 2013
|
|
No additional comments posted.
|
|
Renta 60 (Rentabilidad 60%)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20131029
29 Oct 2013
|
|
No additional comments posted.
|
|
Reichwein & Walker
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131028
28 Oct 2013
|
|
No additional comments posted.
|
|
Hobart Roth LLC
|
Financial Conduct Authority |
United Kingdom
|
20131028
28 Oct 2013
|
|
No additional comments posted.
|
|
St. Publius Corporate Services Limited
|
Malta Financial Services Authority |
Malta
|
20131028
28 Oct 2013
|
|
No additional comments posted.
|
|
HRD PARTICIPAÇÕES SOCIETÁRIAS LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20131025
25 Oct 2013
|
|
Unauthorized security intermediation activities.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20131025
25 Oct 2013
|
|
Unauthorized security intermediation activities.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20131025
25 Oct 2013
|
|
Unauthorized security intermediation activities.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20131025
25 Oct 2013
|
|
Unauthorized security intermediation activities.
|
|
MUGELLO REDISTRIBUIÇÃO DE ATIVOS FINANCEIROS S/A
|
Comissão de Valores Mobiliários |
Brazil
|
20131025
25 Oct 2013
|
|
Unauthorized security intermediation activities.
|
|
Specialist Investor Funds
|
Financial Conduct Authority |
United Kingdom
|
20131025
25 Oct 2013
|
|
No additional comments posted.
|
|
Total Global Equity
|
Securities and Futures Commission |
Hong Kong
|
20131025
25 Oct 2013
|
|
No additional comments posted.
|
|
Charterhouse Wealth Management
|
Securities and Futures Commission |
Hong Kong
|
20131025
25 Oct 2013
|
|
No additional comments posted.
|
|
Sentinel Asset Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131025
25 Oct 2013
|
|
No additional comments posted.
|
|
IFC Independent Financial Consultants
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131025
25 Oct 2013
|
|
No additional comments posted.
|
|
Hanover Group
|
Financial Conduct Authority |
United Kingdom
|
20131025
25 Oct 2013
|
|
No additional comments posted.
|
|
Quinn & Voakes Capital
|
Financial Conduct Authority |
United Kingdom
|
20131025
25 Oct 2013
|
|
No additional comments posted.
|
|
HÉTILO DO BRASIL EMPREENDIMENTOS LTDA. ME
|
Comissão de Valores Mobiliários |
Brazil
|
20131024
24 Oct 2013
|
|
Unauthorized offering of investment opportunities through the page http://www.villagedaspedras.com.br
|
|
EZTrader / WGM Services Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20131023
23 Oct 2013
|
|
No additional comments posted.
|
|
Hoden International Clearing
|
Financial Conduct Authority |
United Kingdom
|
20131023
23 Oct 2013
|
|
No additional comments posted.
|
|
1st Edge Financial Bank of the United Kingdom
|
Finansinspektionen |
Sweden
|
20131023
23 Oct 2013
|
|
No additional comments posted.
|
|
Ellis Harper & Co LLC
|
Financial Conduct Authority |
United Kingdom
|
20131023
23 Oct 2013
|
|
No additional comments posted.
|
|
PIM-Handel AG Schweiz
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131023
23 Oct 2013
|
|
No additional comments posted.
|
|
Asset Capital Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131023
23 Oct 2013
|
|
No additional comments posted.
|
|
Brewer Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20131022
22 Oct 2013
|
|
No additional comments posted.
|
|
Forex
|
Autorité des marchés financiers |
Quebec
|
20131021
21 Oct 2013
|
|
The Autorité des marchés financiers (AMF) is cautioning Québec investors about offers made by foreign companies proposing various trading guides to the foreign exchange market, also called FOREX.
more
|
|
Zenith FUND SA - SICAV- SIF
|
Polish Financial Supervision Authority |
Poland
|
20131021
21 Oct 2013
|
|
The decision to discontinue the investigation issued by the Regional Public Prosecutor in Warsaw on 12th Mai 2014 came into force on 22th Mai 2014.
|
|
Steinberg Management
|
Financial Conduct Authority |
United Kingdom
|
20131021
21 Oct 2013
|
|
No additional comments posted.
|
|
Glover Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20131017
17 Oct 2013
|
|
No additional comments posted.
|
|
Progression Mergers & Acquisitions
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20131017
17 Oct 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Whitney Cooper Associates
|
Financial Conduct Authority |
United Kingdom
|
20131017
17 Oct 2013
|
|
No additional comments posted.
|
|
Hamilton International Group
|
Financial Conduct Authority |
United Kingdom
|
20131016
16 Oct 2013
|
|
No additional comments posted.
|
|
Redevelopment Corporation International Ltd
|
Malta Financial Services Authority |
Malta
|
20131015
15 Oct 2013
|
|
Redevelopment Corporation International Ltd (operating under trade name “FOREXPERTI” - https://www.forexperti.com/)
|
|
IP INTERNATIONAL SERVICE,TRADING CORPORATION,BANK OF BROKER,IKKOTRADER,TRADER369,AJ BROWDER CAPITAL
|
Financial Services and Markets Authority |
Belgium
|
20131015
15 Oct 2013
|
|
warning
|
|
MD Costa Rica Invest (Ireland)
|
Ontario Securities Commission |
Ontario
|
20131011
11 Oct 2013
|
|
MD Costa Rica Invest (Ireland) doing business as http://www.costaricainvest.ie not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
PRG Global Group, Canada doing business as http://timprg.wix.com/prg-group-canada
|
Ontario Securities Commission |
Ontario
|
20131011
11 Oct 2013
|
|
PRG Global Group, Canada and PRG Global Realty, Canada doing business as http://timprg.wix.com/prg-group-canada and http://www.naturewalkcostarica.com are not registered to engage in the business of (i) trading in securities or (ii) advising anyone w
more
|
|
DT Group Business Solutions
|
Financial Conduct Authority |
United Kingdom
|
20131011
11 Oct 2013
|
|
No additional comments posted.
|
|
ROWE CORPORATE SERVICES
|
Financial Conduct Authority |
United Kingdom
|
20131010
10 Oct 2013
|
|
No additional comments posted.
|
|
FIL Investment Management
|
Securities and Futures Commission |
Hong Kong
|
20131010
10 Oct 2013
|
|
No additional comments posted.
|
|
KAIROS CONSULTORIA E INVESTIMENTOS LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20131009
09 Oct 2013
|
|
Unauthorized portfolio management services through the internet webpage: www.kairosinvestimentos.com.br
|
|
Windsor Finance Group
|
Securities and Futures Commission |
Hong Kong
|
20131008
08 Oct 2013
|
|
No additional comments posted.
|
|
Hong Kong Business Information Registry
|
Securities and Futures Commission |
Hong Kong
|
20131008
08 Oct 2013
|
|
No additional comments posted.
|
|
Hodyer Asia / Hodyer Asia Assets Management Inc / Hoyder Investment Group
|
Securities and Futures Commission |
Hong Kong
|
20131008
08 Oct 2013
|
|
No additional comments posted.
|
|
Northern Capital Consultants
|
Financial Conduct Authority |
United Kingdom
|
20131007
07 Oct 2013
|
|
No additional comments posted.
|
|
Bloomfield Advisory
|
Financial Conduct Authority |
United Kingdom
|
20131007
07 Oct 2013
|
|
No additional comments posted.
|
|
Swiss Capital Alternatives
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20131007
07 Oct 2013
|
|
No additional comments posted.
|
|
Mundial Securities
|
Securities and Futures Commission |
Hong Kong
|
20131004
04 Oct 2013
|
|
No additional comments posted.
|
|
Stowford & Proctor Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20131004
04 Oct 2013
|
|
No additional comments posted.
|
|
Risk Capital International (doing business as riskcapitalint.com and www.riskcapitalfx.com)
|
Ontario Securities Commission |
Ontario
|
20131003
03 Oct 2013
|
|
Risk Capital International is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
B.H. Global France
|
Financial Services and Markets Authority |
Belgium
|
20131003
03 Oct 2013
|
|
warning
|
|
|
Hellenic Capital Market Commission |
Greece
|
20131003
03 Oct 2013
|
|
No additional comments posted.
|
|
Accredited International
|
Ontario Securities Commission |
Ontario
|
20131001
01 Oct 2013
|
|
Accredited International doing business as www.accreditedfx.com.com and accreditedoffshore.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities
more
|
|
Conquest Private Equity LLC
|
Finansinspektionen |
Sweden
|
20131001
01 Oct 2013
|
|
No additional comments posted.
|
|
Warning against Unsolicited Offers
|
Financial Services Commission |
Mauritius
|
20131001
01 Oct 2013
|
|
No additional comments posted.
|
|
FX Core/ FxCORE
|
Financial Services Commission |
Mauritius
|
20131001
01 Oct 2013
|
|
No additional comments posted.
|
|
Hayes Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20130930
30 Sep 2013
|
|
No additional comments posted.
|
|
Accer Mergers & Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20130926
26 Sep 2013
|
|
No additional comments posted.
|
|
FX Zenith Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130926
26 Sep 2013
|
|
No additional comments posted.
|
|
North Corp International
|
Securities and Futures Commission |
Hong Kong
|
20130926
26 Sep 2013
|
|
No additional comments posted.
|
|
First Data Limited
|
Isle of Man Financial Services Authority |
Isle of Man
|
20130926
26 Sep 2013
|
|
Bogius entity using website http://firstdata.im
more
|
|
Hayes Capital
|
Jersey Financial Services Commission |
Jersey
|
20130925
25 Sep 2013
|
|
No additional comments posted.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20130925
25 Sep 2013
|
|
Unauthorized security intermediation activities.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20130925
25 Sep 2013
|
|
Unauthorized security intermediation activities.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20130925
25 Sep 2013
|
|
Unauthorized security intermediation activities.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20130925
25 Sep 2013
|
|
Unauthorized security intermediation activities.
|
|
Innovative Securities Limited
|
Polish Financial Supervision Authority |
Poland
|
20130924
24 Sep 2013
|
|
No additional comments posted.
|
|
Klub Zamoznego Inwestora
|
Polish Financial Supervision Authority |
Poland
|
20130924
24 Sep 2013
|
|
No additional comments posted.
|
|
Sompo Capital Group
|
Securities and Futures Commission |
Hong Kong
|
20130923
23 Sep 2013
|
|
No additional comments posted.
|
|
Oriental Financial Service
|
Securities and Futures Commission |
Hong Kong
|
20130923
23 Sep 2013
|
|
No additional comments posted.
|
|
Nomura Asset Management
|
Securities and Futures Commission |
Hong Kong
|
20130923
23 Sep 2013
|
|
No additional comments posted.
|
|
Yad Lan Investments
|
Securities and Futures Commission |
Hong Kong
|
20130923
23 Sep 2013
|
|
No additional comments posted.
|
|
Financial Center Partners
|
Securities and Futures Commission |
Hong Kong
|
20130923
23 Sep 2013
|
|
No additional comments posted.
|
|
Baker Boyd Associates
|
Securities and Futures Commission |
Hong Kong
|
20130923
23 Sep 2013
|
|
No additional comments posted.
|
|
Zurich Private Equity AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130920
20 Sep 2013
|
|
No additional comments posted.
|
|
Otto Investments
|
Polish Financial Supervision Authority |
Poland
|
20130919
19 Sep 2013
|
|
No additional comments posted.
|
|
Touchwood Ltd
|
Polish Financial Supervision Authority |
Poland
|
20130919
19 Sep 2013
|
|
Regional Public Prosecutor in Warsaw decision of 14 October 2014 discontinued the investigation.
|
|
Waterman Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20130917
17 Sep 2013
|
|
No additional comments posted.
|
|
Objective Returns PLC
|
Financial Conduct Authority |
United Kingdom
|
20130917
17 Sep 2013
|
|
Clone of FCA Registered Firm
|
|
Direct Mergers and Acquisitions Inc
|
Financial Conduct Authority |
United Kingdom
|
20130913
13 Sep 2013
|
|
No additional comments posted.
|
|
Sovereign International Worldwide Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130913
13 Sep 2013
|
|
Aka: Sovereign International Ltd.
more
|
|
5LINX Enterprises Inc.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130913
13 Sep 2013
|
|
Advisory warning - unauthorised investment business
|
|
The Corliss Group
|
Danish Financial Supervisory Authority |
Denmark
|
20130912
12 Sep 2013
|
|
The Danish Financial Supervisory Authority has been informed that The Corliss Group unsolicited has offered to carry out financial services in Denmark. The company has offices in Barcelona and Hong Kong. The company's homepage is http://thecorlissgro
more
|
|
Access Finance PLC
|
Jersey Financial Services Commission |
Jersey
|
20130912
12 Sep 2013
|
|
No additional comments posted.
|
|
Hamilton International Group
|
Central Bank of Ireland |
Ireland
|
20130912
12 Sep 2013
|
|
Hamilton International Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Sureland Investment Limited
|
Financial Market Authority |
Austria
|
20130912
12 Sep 2013
|
|
No additional comments posted.
|
|
Solomon Layb
|
Financial Market Authority |
Austria
|
20130912
12 Sep 2013
|
|
No additional comments posted.
|
|
Schwartz Invest
|
Financial Market Authority |
Austria
|
20130912
12 Sep 2013
|
|
No additional comments posted.
|
|
Summit Capital Management
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20130911
11 Sep 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
FIL Investment Management
|
Financial Conduct Authority |
United Kingdom
|
20130911
11 Sep 2013
|
|
Firm is cloning details of FCA Authorised (Schedule 5) firm
|
|
Byrd Fleming and Associates
|
Financial Conduct Authority |
United Kingdom
|
20130911
11 Sep 2013
|
|
No additional comments posted.
|
|
Grand Meridian Private Equity Ltd
|
Financial Conduct Authority |
United Kingdom
|
20130911
11 Sep 2013
|
|
No additional comments posted.
|
|
G6 Trading doing business as www.gcitrading.com
|
Ontario Securities Commission |
Ontario
|
20130911
11 Sep 2013
|
|
G6 Trading doing business as www.gcitrading.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Brien Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20130910
10 Sep 2013
|
|
No additional comments posted.
|
|
Gould Ventures Group
|
Securities and Futures Commission |
Hong Kong
|
20130910
10 Sep 2013
|
|
No additional comments posted.
|
|
Hong Kuang
|
Securities and Futures Commission |
Hong Kong
|
20130910
10 Sep 2013
|
|
No additional comments posted.
|
|
Sentinel Equity Inc
|
Securities and Futures Commission |
Hong Kong
|
20130910
10 Sep 2013
|
|
No additional comments posted.
|
|
Norris Jardine Newell Equities
|
Securities and Futures Commission |
Hong Kong
|
20130910
10 Sep 2013
|
|
No additional comments posted.
|
|
Messrs Leroy and Grecy
|
Autorité des marchés financiers |
France
|
20130909
09 Sep 2013
|
|
Warning regarding the activities of persons purporting to be Mr Franck LEROY and Mr Nicolas GRECY from the company “AMF” (Autorité Money Forex).
|
|
GCI Financial LLC. (doing business as www.gcitrading.com)
|
Ontario Securities Commission |
Ontario
|
20130906
06 Sep 2013
|
|
GCI Financial LLC is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
International Youtrade Investments MA Ltd
|
Financial Services Commission |
Mauritius
|
20130906
06 Sep 2013
|
|
No additional comments posted.
|
|
Panchshil Healthcare Ltd
|
Financial Services Commission |
Mauritius
|
20130906
06 Sep 2013
|
|
No additional comments posted.
|
|
Opstock Ltd (Clone of authorised firm)
|
Financial Conduct Authority |
United Kingdom
|
20130906
06 Sep 2013
|
|
Firm is cloning details of FCA EEA Authorised Firm
|
|
Update-websites offering binary options
|
Autorité des marchés financiers |
France
|
20130905
05 Sep 2013
|
|
Update of warning on websites offering binary options dated 1 August 2013
|
|
Mayer Kaufman Private Bankers
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20130905
05 Sep 2013
|
|
No additional comments posted.
|
|
NZ Financial Capital Limited
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20130905
05 Sep 2013
|
|
No additional comments posted.
|
|
Alliance Partnership
|
Financial Conduct Authority |
United Kingdom
|
20130903
03 Sep 2013
|
|
Firm is cloning details of FCA EEA Authorised firms.
|
|
http://fxaxa.co.uk
|
Isle of Man Financial Services Authority |
Isle of Man
|
20130903
03 Sep 2013
|
|
Bogus website claiming to be linked to genuine Isle of Man company
|
|
Brent Technologies
|
Isle of Man Financial Services Authority |
Isle of Man
|
20130903
03 Sep 2013
|
|
Bogus job opportunities being offered int eh Isle of Man
|
|
Standard Trust Finance Bank
|
Isle of Man Financial Services Authority |
Isle of Man
|
20130903
03 Sep 2013
|
|
Bogus company claiming to be domiciled in the Isle of Man
|
|
World Systems Market LLC
|
Czech National Bank |
Czech Republic
|
20130903
03 Sep 2013
|
|
The Czech National Bank wishes to point out that World Systems Market LLC, which is offering trading on the forex market in Czech via a web presentation at http://www.i-wsm.com/cz.aspx, currently has no authorisation to provide investment or any othe
more
|
|
Hong Kong Shanghai Board Options Exchange
|
Securities and Futures Commission |
Hong Kong
|
20130903
03 Sep 2013
|
|
No additional comments posted.
|
|
Consorteum Holdings Inc
|
Australian Securities and Investments Commission |
Australia
|
20130902
02 Sep 2013
|
|
No additional comments posted.
|
|
Indochine Nominees Ltd
|
Australian Securities and Investments Commission |
Australia
|
20130902
02 Sep 2013
|
|
No additional comments posted.
|
|
Lucky Pearl Investments Ltd
|
Australian Securities and Investments Commission |
Australia
|
20130902
02 Sep 2013
|
|
No additional comments posted.
|
|
Capital Alliance International
|
Australian Securities and Investments Commission |
Australia
|
20130902
02 Sep 2013
|
|
No additional comments posted.
|
|
Gordon Vaughn and Associates
|
Australian Securities and Investments Commission |
Australia
|
20130902
02 Sep 2013
|
|
No additional comments posted.
|
|
International Commission of Securities
|
Australian Securities and Investments Commission |
Australia
|
20130902
02 Sep 2013
|
|
No additional comments posted.
|
|
Twin Royale International
|
Australian Securities and Investments Commission |
Australia
|
20130902
02 Sep 2013
|
|
No additional comments posted.
|
|
Madley Capital Management Limited
|
Australian Securities and Investments Commission |
Australia
|
20130902
02 Sep 2013
|
|
No additional comments posted.
|
|
Cambros Capital Ltd
|
Australian Securities and Investments Commission |
Australia
|
20130902
02 Sep 2013
|
|
No additional comments posted.
|
|
Private Venture Capital Group
|
Australian Securities and Investments Commission |
Australia
|
20130902
02 Sep 2013
|
|
No additional comments posted.
|
|
R&G Securities & Transfers Inc
|
Australian Securities and Investments Commission |
Australia
|
20130902
02 Sep 2013
|
|
No additional comments posted.
|
|
Paulson Management LLC
|
Australian Securities and Investments Commission |
Australia
|
20130902
02 Sep 2013
|
|
No additional comments posted.
|
|
Fortress Global Markets
|
British Columbia Securities Commission |
British Columbia
|
20130830
30 Aug 2013
|
|
No additional comments posted.
|
|
Norex Trade Advisors
|
British Columbia Securities Commission |
British Columbia
|
20130830
30 Aug 2013
|
|
No additional comments posted.
|
|
Mitsubishi UFJ Morgan Stanley Securities Co. Ltd
|
Financial Conduct Authority |
United Kingdom
|
20130830
30 Aug 2013
|
|
Clone of a Japanese firm.
|
|
SCOTT FISCHER CONSULTANCY
|
Financial Conduct Authority |
United Kingdom
|
20130829
29 Aug 2013
|
|
No additional comments posted.
|
|
Nomos Wealth Management
|
Polish Financial Supervision Authority |
Poland
|
20130829
29 Aug 2013
|
|
February 9, 2015 The prosecutor in Warszawa District Prosecutor's Office decided to discontinue the investigation.
|
|
JORDAN PARKINSON GROUP
|
Financial Conduct Authority |
United Kingdom
|
20130828
28 Aug 2013
|
|
No additional comments posted.
|
|
Health Insurances Contor AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130827
27 Aug 2013
|
|
No additional comments posted.
|
|
Swiss Investor Club AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130827
27 Aug 2013
|
|
No additional comments posted.
|
|
Blue Sky Group Europe
|
Financial Conduct Authority |
United Kingdom
|
20130827
27 Aug 2013
|
|
Firm is cloning details of a FCA EEA Authorised firm.
|
|
www.rtronx.com
|
Securities and Futures Commission |
Hong Kong
|
20130823
23 Aug 2013
|
|
No additional comments posted.
|
|
www.bimforex.com
|
Securities and Futures Commission |
Hong Kong
|
20130823
23 Aug 2013
|
|
No additional comments posted.
|
|
Global Reach Asset Management
|
Danish Financial Supervisory Authority |
Denmark
|
20130823
23 Aug 2013
|
|
The Danish Financial Supervisory Authority has been informed that Global Reach Asset Management from Hong Kong unsolicited has offered to carry out financial services in Denmark.
|
|
FXHelpers, The (doing business as www.thefxhelpers.com)
|
Ontario Securities Commission |
Ontario
|
20130822
22 Aug 2013
|
|
TheFXHelpers is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Temple Nugent Capital Management / Temple and Nugent Investments
|
Financial Conduct Authority |
United Kingdom
|
20130822
22 Aug 2013
|
|
No additional comments posted.
|
|
NCL Group (UK) Ltd
|
Securities and Futures Commission |
Hong Kong
|
20130822
22 Aug 2013
|
|
No additional comments posted.
|
|
Capital Finance Group Hong Kong Limited
|
Securities and Futures Commission |
Hong Kong
|
20130821
21 Aug 2013
|
|
No additional comments posted.
|
|
Dinosaur Investor Services (UK) Limited / Dinosaur Investor Services
|
Securities and Futures Commission |
Hong Kong
|
20130821
21 Aug 2013
|
|
No additional comments posted.
|
|
Dinosaur Assets Management (HK) Limited
|
Securities and Futures Commission |
Hong Kong
|
20130821
21 Aug 2013
|
|
No additional comments posted.
|
|
www.gwtrade.hk
|
Securities and Futures Commission |
Hong Kong
|
20130820
20 Aug 2013
|
|
No additional comments posted.
|
|
Conquest Private Equity LLC
|
Financial Market Authority |
Austria
|
20130819
19 Aug 2013
|
|
No additional comments posted.
|
|
Lexington International Group Inc.
|
Financial Market Authority |
Austria
|
20130819
19 Aug 2013
|
|
No additional comments posted.
|
|
MKR Global Services LLC
|
Financial Conduct Authority |
United Kingdom
|
20130816
16 Aug 2013
|
|
No additional comments posted.
|
|
Eclipse Options Ltd Europe / Eclipse Trading
|
Financial Conduct Authority |
United Kingdom
|
20130816
16 Aug 2013
|
|
Firm is cloning details of Hong Kong and UK incorporated firms.
|
|
AXA Isle of Man
|
Financial Conduct Authority |
United Kingdom
|
20130816
16 Aug 2013
|
|
Firm is cloning details of a FCA Authorised firm.
|
|
Dean Capital Canada Ltd., doing business as Dean Capital Group
|
Ontario Securities Commission |
Ontario
|
20130815
15 Aug 2013
|
|
Dean Capital Canada Ltd., doing business as www.deancapitalgroup.com, and its affiliates and representatives are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or sel
more
|
|
Forexoma Ltd
|
Securities and Futures Commission |
Hong Kong
|
20130815
15 Aug 2013
|
|
No additional comments posted.
|
|
www.saxoforex.hk, www.saxoworld.com.hk
|
Securities and Futures Commission |
Hong Kong
|
20130814
14 Aug 2013
|
|
No additional comments posted.
|
|
Standard Wealth Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20130814
14 Aug 2013
|
|
No additional comments posted.
|
|
Future Trend Investment Holding Limited
|
Securities and Futures Commission |
Hong Kong
|
20130814
14 Aug 2013
|
|
No additional comments posted.
|
|
East Cape Mining Corporation
|
Securities and Futures Commission |
Hong Kong
|
20130814
14 Aug 2013
|
|
No additional comments posted.
|
|
GMO Global
|
Securities and Futures Commission |
Hong Kong
|
20130814
14 Aug 2013
|
|
No additional comments posted.
|
|
Arrow Capital Partners
|
Securities and Futures Commission |
Hong Kong
|
20130814
14 Aug 2013
|
|
No additional comments posted.
|
|
Cadell Acton Group International
|
Securities and Futures Commission |
Hong Kong
|
20130814
14 Aug 2013
|
|
No additional comments posted.
|
|
Wainwright Wealth Management / Wainwright Finance
|
Financial Conduct Authority |
United Kingdom
|
20130812
12 Aug 2013
|
|
No additional comments posted.
|
|
White Plains International Securities
|
Financial Conduct Authority |
United Kingdom
|
20130809
09 Aug 2013
|
|
No additional comments posted.
|
|
CV Global Corp LLC
|
Financial Conduct Authority |
United Kingdom
|
20130809
09 Aug 2013
|
|
No additional comments posted.
|
|
Department of Foreign Investment Control
|
Australian Securities and Investments Commission |
Australia
|
20130809
09 Aug 2013
|
|
No additional comments posted.
|
|
VCC International Group Ltd
|
Australian Securities and Investments Commission |
Australia
|
20130809
09 Aug 2013
|
|
No additional comments posted.
|
|
TM Capital Corp / Thomson McKinnon Capital Corp
|
Australian Securities and Investments Commission |
Australia
|
20130809
09 Aug 2013
|
|
No additional comments posted.
|
|
Key Value Wealth Management
|
Australian Securities and Investments Commission |
Australia
|
20130809
09 Aug 2013
|
|
No additional comments posted.
|
|
Raimon & Associates
|
Australian Securities and Investments Commission |
Australia
|
20130809
09 Aug 2013
|
|
No additional comments posted.
|
|
Bureau of International Securities Trading
|
Australian Securities and Investments Commission |
Australia
|
20130809
09 Aug 2013
|
|
No additional comments posted.
|
|
Adolphe Financial Management
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20130808
08 Aug 2013
|
|
No additional comments posted.
|
|
Banc de Binary
|
Autorité des marchés financiers |
Quebec
|
20130808
08 Aug 2013
|
|
The Autorité des marchés financiers (the "AMF") is urging investors to be cautious about Banc de Binary, a firm headquartered in Cyprus that offers an Internet-based trading platform for binary options.
more
|
|
DENKO GROUP and WILTSHIRE CAPITAL
|
Financial Services and Markets Authority |
Belgium
|
20130808
08 Aug 2013
|
|
warning
|
|
Champel Private Equity SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130808
08 Aug 2013
|
|
No additional comments posted.
|
|
TradeRush.com
|
British Columbia Securities Commission |
British Columbia
|
20130807
07 Aug 2013
|
|
No additional comments posted.
|
|
GOptions.com
|
British Columbia Securities Commission |
British Columbia
|
20130807
07 Aug 2013
|
|
No additional comments posted.
|
|
24option.com
|
British Columbia Securities Commission |
British Columbia
|
20130807
07 Aug 2013
|
|
No additional comments posted.
|
|
Lexington International Group Inc
|
Financial Conduct Authority |
United Kingdom
|
20130807
07 Aug 2013
|
|
No additional comments posted.
|
|
Miles Corporate Services
|
Financial Conduct Authority |
United Kingdom
|
20130807
07 Aug 2013
|
|
No additional comments posted.
|
|
KKR
|
Financial Conduct Authority |
United Kingdom
|
20130806
06 Aug 2013
|
|
Firm is cloning details of FCA Authorised firms.
|
|
Saba Capital Management
|
Securities and Futures Commission |
Hong Kong
|
20130806
06 Aug 2013
|
|
No additional comments posted.
|
|
Commodity Options Security Exchange
|
Securities and Futures Commission |
Hong Kong
|
20130806
06 Aug 2013
|
|
No additional comments posted.
|
|
Hang International
|
Securities and Futures Commission |
Hong Kong
|
20130806
06 Aug 2013
|
|
No additional comments posted.
|
|
VCC International Group Ltd
|
Securities and Futures Commission |
Hong Kong
|
20130806
06 Aug 2013
|
|
No additional comments posted.
|
|
HenryFX
|
Securities and Futures Commission |
Hong Kong
|
20130806
06 Aug 2013
|
|
No additional comments posted.
|
|
Guardian Swiss Trust AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130805
05 Aug 2013
|
|
No additional comments posted.
|
|
Braun and Brandt Consulting Firm
|
Financial Conduct Authority |
United Kingdom
|
20130802
02 Aug 2013
|
|
No additional comments posted.
|
|
SevenTrades Global Markets Ltd.
|
Financial Services Commission |
Mauritius
|
20130802
02 Aug 2013
|
|
No additional comments posted.
|
|
INI Securities GmbH
|
Financial Conduct Authority |
United Kingdom
|
20130801
01 Aug 2013
|
|
Firm is cloning details of a FCA EEA Authorised firm.
|
|
Travaled Enterprises Limited
|
Polish Financial Supervision Authority |
Poland
|
20130730
30 Jul 2013
|
|
Regional Prosecutor's Office in Gdańsk dropped the investigation May 9, 2014
|
|
Blue Dome Partners
|
Securities and Futures Commission |
Hong Kong
|
20130730
30 Jul 2013
|
|
No additional comments posted.
|
|
Bergmannwhite Associates
|
Securities and Futures Commission |
Hong Kong
|
20130730
30 Jul 2013
|
|
No additional comments posted.
|
|
Credit Union Group S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130729
29 Jul 2013
|
|
Company not registered
|
|
Swiss Guarantee Bank plc
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130729
29 Jul 2013
|
|
No additional comments posted.
|
|
BNP Paribas Bank
|
Jersey Financial Services Commission |
Jersey
|
20130729
29 Jul 2013
|
|
No additional comments posted.
|
|
Capital Markets
|
Financial Conduct Authority |
United Kingdom
|
20130726
26 Jul 2013
|
|
Firm is cloning details of a FCA EEA Authorised firm.
|
|
Fusion Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20130726
26 Jul 2013
|
|
No additional comments posted.
|
|
Fidelity Global Recovery
|
Financial Conduct Authority |
United Kingdom
|
20130726
26 Jul 2013
|
|
No additional comments posted.
|
|
Rubin Price Securities
|
Financial Conduct Authority |
United Kingdom
|
20130725
25 Jul 2013
|
|
No additional comments posted.
|
|
Dean Witter Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20130725
25 Jul 2013
|
|
No additional comments posted.
|
|
Rapid Exchange / Rapid Gold Inc.
|
Securities and Futures Commission |
Hong Kong
|
20130725
25 Jul 2013
|
|
No additional comments posted.
|
|
GERABANK ADMINISTRAÇÃO DE INVESTIMENTOS LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20130724
24 Jul 2013
|
|
Unauthorized portfolio management through the internet webpage: http://www.gerabank.com.br
|
|
MTR Global
|
British Columbia Securities Commission |
British Columbia
|
20130723
23 Jul 2013
|
|
No additional comments posted.
|
|
BH FRANCE
|
Financial Services and Markets Authority |
Belgium
|
20130723
23 Jul 2013
|
|
warning
|
|
BRIDGESTONE TRADING
|
Financial Services and Markets Authority |
Belgium
|
20130723
23 Jul 2013
|
|
warning
|
|
JONES FALLS SECURITIES
|
Financial Services and Markets Authority |
Belgium
|
20130723
23 Jul 2013
|
|
warning
|
|
FINANCIAL ADVISORS ONLINE
|
Financial Services and Markets Authority |
Belgium
|
20130723
23 Jul 2013
|
|
warning
|
|
Apex International Consulting Group
|
Jersey Financial Services Commission |
Jersey
|
20130723
23 Jul 2013
|
|
No additional comments posted.
|
|
www.4xp.com
|
Comissão de Valores Mobiliários |
Brazil
|
20130722
22 Jul 2013
|
|
Unauthorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20130722
22 Jul 2013
|
|
Unauthorized security intermediation activities.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20130722
22 Jul 2013
|
|
Unauthorized security intermediation activities.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20130722
22 Jul 2013
|
|
Unauthorized security intermediation activities.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20130722
22 Jul 2013
|
|
Unauthorized security intermediation activities.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20130722
22 Jul 2013
|
|
Unauthorized security intermediation activities.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20130722
22 Jul 2013
|
|
Unauthorized security intermediation activities
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20130722
22 Jul 2013
|
|
Unauthorized security intermediation activities.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20130722
22 Jul 2013
|
|
Unauthorized security intermediation activities.
|
|
|
Comissão de Valores Mobiliários |
Brazil
|
20130722
22 Jul 2013
|
|
Unauthorized security intermediation activities.
|
|
OBJETIVA GESTÃO E VENDAS S/S LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20130722
22 Jul 2013
|
|
Unauthorized offering of investment opportunities through the page http://www.objetivaconsorcio.com.br
|
|
BWM INVESTMENTS LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20130722
22 Jul 2013
|
|
Unauthorized to publicly offer investment fund quotas and security services through the internet webpage: http://www.bwminvestments.com
|
|
MIDAS INVESTIMENTOS IMOBILIÁRIOS LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20130722
22 Jul 2013
|
|
Unauthorized offering of investment opportunities through the page https://www.facebook.com/MidasInvestimentos
|
|
United Capital Forex Limited
|
Financial Services Commission |
Mauritius
|
20130722
22 Jul 2013
|
|
No additional comments posted.
|
|
Araxo Technologies Ltd (“Araxo4x”)
|
Financial Services Commission |
Mauritius
|
20130722
22 Jul 2013
|
|
No additional comments posted.
|
|
TSC FOMENTO COMERCIAL LTDA – ME
|
Comissão de Valores Mobiliários |
Brazil
|
20130719
19 Jul 2013
|
|
Unauthorized security intermediation activities.
|
|
Galaxy Brokers Limited
|
Securities and Futures Commission |
Hong Kong
|
20130719
19 Jul 2013
|
|
No additional comments posted.
|
|
Letter Ann Financial Group
|
Securities and Futures Commission |
Hong Kong
|
20130719
19 Jul 2013
|
|
No additional comments posted.
|
|
HF JR Finance (Asia) Limited
|
Securities and Futures Commission |
Hong Kong
|
20130719
19 Jul 2013
|
|
No additional comments posted.
|
|
www.ch4444.com
|
Securities and Futures Commission |
Hong Kong
|
20130719
19 Jul 2013
|
|
No additional comments posted.
|
|
www.zhxhjyw.cn
|
Securities and Futures Commission |
Hong Kong
|
20130719
19 Jul 2013
|
|
No additional comments posted.
|
|
www.ftjrw.com
|
Securities and Futures Commission |
Hong Kong
|
20130719
19 Jul 2013
|
|
No additional comments posted.
|
|
www.futai0.com
|
Securities and Futures Commission |
Hong Kong
|
20130719
19 Jul 2013
|
|
No additional comments posted.
|
|
Hines Aircraft Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20130719
19 Jul 2013
|
|
No additional comments posted.
|
|
Pay Trade Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20130718
18 Jul 2013
|
|
On February 4, 2015 District Court for Warszawa-Śródmieście decided not to consider a complaint PFSA and upheld the decision of the Prosecutor of the District Prosecutor's Office in Warszawa on 5 November 2014 to discontinue the investigation.
|
|
www.959488.com
|
Securities and Futures Commission |
Hong Kong
|
20130718
18 Jul 2013
|
|
No additional comments posted.
|
|
Shenzhen Lukfook Hushen Technology Ltd
|
Securities and Futures Commission |
Hong Kong
|
20130718
18 Jul 2013
|
|
No additional comments posted.
|
|
NCA International Holdings Limited / NCA Noble Capital (Asia) Limited
|
Securities and Futures Commission |
Hong Kong
|
20130718
18 Jul 2013
|
|
No additional comments posted.
|
|
Able Will Development
|
Securities and Futures Commission |
Hong Kong
|
20130718
18 Jul 2013
|
|
No additional comments posted.
|
|
BHFrance
|
Autorité des marchés financiers |
France
|
20130717
17 Jul 2013
|
|
Warning concerning BHFrance dated 8 July 2013
|
|
Avacia Investments/Avacia Limited/Avacia Securities Limited
|
Financial Conduct Authority |
United Kingdom
|
20130717
17 Jul 2013
|
|
No additional comments posted.
|
|
ICG (Intermediate Capital Group)
|
Financial Conduct Authority |
United Kingdom
|
20130716
16 Jul 2013
|
|
Firm is cloning details of a FCA Authorised Firm.
|
|
http://señalesdeforex.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20130716
16 Jul 2013
|
|
No additional comments posted.
|
|
Winston, Jarrod & Jones
|
Securities and Futures Commission |
Hong Kong
|
20130716
16 Jul 2013
|
|
No additional comments posted.
|
|
SCFS Trading
|
Securities and Futures Commission |
Hong Kong
|
20130716
16 Jul 2013
|
|
No additional comments posted.
|
|
M1NT Cellar Holdings Limited
|
Ontario Securities Commission |
Ontario
|
20130715
15 Jul 2013
|
|
M1NT Cellar Holdings Limited, doing business as m1ntcellars.com, and m1ntglobal.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Nexacon Energy Inc.
|
Ontario Securities Commission |
Ontario
|
20130715
15 Jul 2013
|
|
Nexacon Energy Inc., a Canadian incorporated company, is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
B.H.N.V. Online Ltd. doing business as opteck.com and optaffiliates.com
|
Ontario Securities Commission |
Ontario
|
20130715
15 Jul 2013
|
|
B.H.N.V. Online Ltd. doing business as opteck.com and optaffiliates.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
www.axa-a.com
|
Securities and Futures Commission |
Hong Kong
|
20130712
12 Jul 2013
|
|
No additional comments posted.
|
|
http://azentuscapitalmanagement.com
|
Securities and Futures Commission |
Hong Kong
|
20130712
12 Jul 2013
|
|
No additional comments posted.
|
|
http://azentus-capital.com
|
Securities and Futures Commission |
Hong Kong
|
20130712
12 Jul 2013
|
|
No additional comments posted.
|
|
JP Premier International Holdings Limited
|
Securities and Futures Commission |
Hong Kong
|
20130712
12 Jul 2013
|
|
No additional comments posted.
|
|
AWI Financial
|
Securities and Futures Commission |
Hong Kong
|
20130712
12 Jul 2013
|
|
No additional comments posted.
|
|
HK Jin Yu Heng Tong Investment Co Limited / HK Jin Yu Heng Tong Investment Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20130712
12 Jul 2013
|
|
No additional comments posted.
|
|
Dupont Securities
|
Securities and Futures Commission |
Hong Kong
|
20130712
12 Jul 2013
|
|
No additional comments posted.
|
|
Leonard Ullrich Neuman
|
Securities and Futures Commission |
Hong Kong
|
20130712
12 Jul 2013
|
|
No additional comments posted.
|
|
IC Markets Hong Kong
|
Securities and Futures Commission |
Hong Kong
|
20130712
12 Jul 2013
|
|
No additional comments posted.
|
|
DS Forex
|
Securities and Futures Commission |
Hong Kong
|
20130712
12 Jul 2013
|
|
No additional comments posted.
|
|
www.franklinfund.us
|
Securities and Futures Commission |
Hong Kong
|
20130712
12 Jul 2013
|
|
No additional comments posted.
|
|
www.shifu1.com
|
Securities and Futures Commission |
Hong Kong
|
20130712
12 Jul 2013
|
|
No additional comments posted.
|
|
Capstone Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20130711
11 Jul 2013
|
|
No additional comments posted.
|
|
ESIP Finance
|
Financial Conduct Authority |
United Kingdom
|
20130711
11 Jul 2013
|
|
Firm is cloning details of a FCA EEA Authorised firm.
|
|
Infineo24
|
Polish Financial Supervision Authority |
Poland
|
20130708
08 Jul 2013
|
|
No additional comments posted.
|
|
Unterstützungskasse für Arbeitnehmerschutz und Vorsorge
|
Financial Market Authority |
Austria
|
20130708
08 Jul 2013
|
|
No additional comments posted.
|
|
The Best Investment Guide
|
Financial Conduct Authority |
United Kingdom
|
20130705
05 Jul 2013
|
|
Firm is using similar name to FSA Authorised firms which are in no way linked to this company.
|
|
AJ Nelson Consultants LLC
|
Financial Conduct Authority |
United Kingdom
|
20130705
05 Jul 2013
|
|
No additional comments posted.
|
|
INTELLIGENT TRADING CORP.
|
Superintendencia del Mercado de Valores |
Panama
|
20130704
04 Jul 2013
|
|
Company not registered
|
|
Q-BUSINESS SPRL
|
Financial Services and Markets Authority |
Belgium
|
20130704
04 Jul 2013
|
|
warning
|
|
EDMUND ROME CORPORATE
|
Financial Services and Markets Authority |
Belgium
|
20130704
04 Jul 2013
|
|
warning
|
|
Sheppard Capital Partners
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20130704
04 Jul 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Wentworth Worldwide Ltd
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20130704
04 Jul 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Stargate Advisors Limited
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20130704
04 Jul 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Stargate Advisors Limited
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20130704
04 Jul 2013
|
|
No additional comments posted.
|
|
M&B Capital Advisers
|
Comisión Nacional del Mercado de Valores |
Spain
|
20130703
03 Jul 2013
|
|
This entity does not have any relationship with the Spanish entity M&B Capital Advisers, S.A. that until 2012 was registered as a broker-dealer in the CNMV under the name M&B Capital Advisers, S.A. Sociedad de Valores.
|
|
Investment House Limited
|
Comisión Nacional del Mercado de Valores |
Spain
|
20130703
03 Jul 2013
|
|
No additional comments posted.
|
|
Apex International Consulting Group (AICG)
|
Financial Conduct Authority |
United Kingdom
|
20130702
02 Jul 2013
|
|
No additional comments posted.
|
|
Global Mergers Corporation
|
Financial Conduct Authority |
United Kingdom
|
20130702
02 Jul 2013
|
|
No additional comments posted.
|
|
Novum Capital
|
Financial Conduct Authority |
United Kingdom
|
20130628
28 Jun 2013
|
|
Firm is cloning details of a FCA Authorised firm.
|
|
Legacy Capital Management
|
Central Bank of Ireland |
Ireland
|
20130628
28 Jun 2013
|
|
Legacy Capital Management is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
JW. Capital Management Corporation
|
Polish Financial Supervision Authority |
Poland
|
20130628
28 Jun 2013
|
|
No additional comments posted.
|
|
Hanson Business Services LLC
|
Financial Conduct Authority |
United Kingdom
|
20130628
28 Jun 2013
|
|
No additional comments posted.
|
|
Krisworld Development Limited doing business as binaryoptionsxposed.com
|
Ontario Securities Commission |
Ontario
|
20130627
27 Jun 2013
|
|
Krisworld Development Limited doing business as binaryoptionxposed.com, option-world.com, bank-options.com and signaliforex.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing
more
|
|
HFX Global Ltd. doing business as hfx.com
|
Ontario Securities Commission |
Ontario
|
20130627
27 Jun 2013
|
|
HFX Global Ltd. doing business as hfx.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
European Caribbean Financial Group Ltd
|
Ontario Securities Commission |
Ontario
|
20130627
27 Jun 2013
|
|
European Caribbean Financial Group Ltd. (Belize) and its affiliates and representatives are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Vault Emerging Market Treasuries Ltd
|
Ontario Securities Commission |
Ontario
|
20130627
27 Jun 2013
|
|
Vault Emerging Market Treasuries Ltd. (Canada) and its affiliates and representatives are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Questus Global Capital Market Ltd.
|
Ontario Securities Commission |
Ontario
|
20130627
27 Jun 2013
|
|
Questus Global Capital Market Ltd. (Canada) and its affiliates and representatives are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Leonard Ullrich Neumann
|
Financial Conduct Authority |
United Kingdom
|
20130627
27 Jun 2013
|
|
Firm is cloning details of a previously FCA EEA Authorised firm.
|
|
The Avanti Group
|
Securities and Futures Commission |
Hong Kong
|
20130627
27 Jun 2013
|
|
No additional comments posted.
|
|
Flex Capital Partners
|
Securities and Futures Commission |
Hong Kong
|
20130627
27 Jun 2013
|
|
No additional comments posted.
|
|
www.jiashivip.net
|
Securities and Futures Commission |
Hong Kong
|
20130627
27 Jun 2013
|
|
No additional comments posted.
|
|
Capital Alliance International
|
Securities and Futures Commission |
Hong Kong
|
20130627
27 Jun 2013
|
|
No additional comments posted.
|
|
First Laurel Capital
|
Securities and Futures Commission |
Hong Kong
|
20130627
27 Jun 2013
|
|
No additional comments posted.
|
|
Hamilton Financial Services
|
Securities and Futures Commission |
Hong Kong
|
20130627
27 Jun 2013
|
|
No additional comments posted.
|
|
TraderXP Ltd. (doing business as www.traderxp.com)
|
Ontario Securities Commission |
Ontario
|
20130626
26 Jun 2013
|
|
TraderXP Ltd., doing business as traderxp.com, is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
Kenzar Consulting Inc. (doing business as www.kenzarfx.com)
|
Ontario Securities Commission |
Ontario
|
20130626
26 Jun 2013
|
|
Kenzar Consulting Inc., doing business as kenzarfx.com, is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
|
|
International Brokers Worldwide
|
Financial Conduct Authority |
United Kingdom
|
20130626
26 Jun 2013
|
|
No additional comments posted.
|
|
Billmen & Associates
|
Financial Conduct Authority |
United Kingdom
|
20130626
26 Jun 2013
|
|
No additional comments posted.
|
|
Davis & Co LLC
|
Financial Conduct Authority |
United Kingdom
|
20130626
26 Jun 2013
|
|
Clone of UK incorporated firm.
|
|
Swan Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20130626
26 Jun 2013
|
|
No additional comments posted.
|
|
Bradley King M & A
|
Financial Conduct Authority |
United Kingdom
|
20130626
26 Jun 2013
|
|
No additional comments posted.
|
|
Eurotex Global Savings and Trust, S.A.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20130625
25 Jun 2013
|
|
No additional comments posted.
|
|
Swiss8, S.A.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20130625
25 Jun 2013
|
|
No additional comments posted.
|
|
Telemar Data Management
|
Central Bank of Ireland |
Ireland
|
20130624
24 Jun 2013
|
|
Telemar Data Management is not authorised to provide investment services in Ireland. The firm purports to be based in Brazil.
|
|
Coleman and Partners
|
Financial Conduct Authority |
United Kingdom
|
20130620
20 Jun 2013
|
|
No additional comments posted.
|
|
MM Institutional
|
Financial Conduct Authority |
United Kingdom
|
20130620
20 Jun 2013
|
|
Clone of FCA Registered Firm
|
|
AdvisorCorp Ltd
|
Financial Conduct Authority |
United Kingdom
|
20130620
20 Jun 2013
|
|
No additional comments posted.
|
|
Equiniti Registrars Group
|
Financial Conduct Authority |
United Kingdom
|
20130620
20 Jun 2013
|
|
Clone of FCA authorised firm.
|
|
WBS Holding Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130619
19 Jun 2013
|
|
Advisory warning - Unauthorised investment business
|
|
Forex Place Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130619
19 Jun 2013
|
|
Advisory warning - Unauthorised investment business
|
|
Nova Tradex Financial Holdings Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130619
19 Jun 2013
|
|
Advisory warning - Unauthorised investment business
|
|
Paxinvest.com Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130619
19 Jun 2013
|
|
Advisory warning - Unauthorized investment business
|
|
Logic Invest
|
Polish Financial Supervision Authority |
Poland
|
20130619
19 Jun 2013
|
|
Regional Public Prosecutor in Warsaw decision of 18 June 2014 discontinued the proceedings.
|
|
Goldberg Capital Group Ltd
|
Financial Conduct Authority |
United Kingdom
|
20130618
18 Jun 2013
|
|
Firm is cloning names of a number of FCA Approved Persons.
|
|
Interactive Investor Trading Limited / Share Price UK
|
Financial Conduct Authority |
United Kingdom
|
20130618
18 Jun 2013
|
|
Clone of FCA authorised firm.
|
|
Kendall Morgan Partners
|
Securities and Futures Commission |
Hong Kong
|
20130618
18 Jun 2013
|
|
No additional comments posted.
|
|
CMS AG, Marshall Islands, Zweigniederlassung Riedmatt
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130617
17 Jun 2013
|
|
No additional comments posted.
|
|
Kremer Moyse AG
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20130614
14 Jun 2013
|
|
No additional comments posted.
|
|
Phoenix Private Equity LLC
|
Australian Securities and Investments Commission |
Australia
|
20130614
14 Jun 2013
|
|
No additional comments posted.
|
|
Madison Private Equity LLC
|
Australian Securities and Investments Commission |
Australia
|
20130614
14 Jun 2013
|
|
No additional comments posted.
|
|
iOption Group Ltd
|
Australian Securities and Investments Commission |
Australia
|
20130614
14 Jun 2013
|
|
No additional comments posted.
|
|
Drobium Associates
|
Australian Securities and Investments Commission |
Australia
|
20130614
14 Jun 2013
|
|
No additional comments posted.
|
|
VC Management China Ltd
|
Australian Securities and Investments Commission |
Australia
|
20130614
14 Jun 2013
|
|
No additional comments posted.
|
|
Sol Transfer Agents LLC
|
Financial Conduct Authority |
United Kingdom
|
20130613
13 Jun 2013
|
|
No additional comments posted.
|
|
Palmer Corporate Solutions, LLC
|
Financial Conduct Authority |
United Kingdom
|
20130613
13 Jun 2013
|
|
No additional comments posted.
|
|
Stalmann Clark
|
Financial Conduct Authority |
United Kingdom
|
20130613
13 Jun 2013
|
|
No additional comments posted.
|
|
AMG Finanz LTD
|
Financial Market Authority |
Austria
|
20130613
13 Jun 2013
|
|
No additional comments posted.
|
|
MKP Capital Europe / MKP Europe
|
Financial Conduct Authority |
United Kingdom
|
20130612
12 Jun 2013
|
|
Clone of FCA authorised firm.
|
|
Ausante LLC
|
Australian Securities and Investments Commission |
Australia
|
20130612
12 Jun 2013
|
|
No additional comments posted.
|
|
Peterson Capital Partners Inc
|
Financial Conduct Authority |
United Kingdom
|
20130611
11 Jun 2013
|
|
No additional comments posted.
|
|
Mergers and Acquisitions Financial Administration
|
Financial Conduct Authority |
United Kingdom
|
20130610
10 Jun 2013
|
|
No additional comments posted.
|
|
Vilaron compagnie inc.
|
Autorité des marchés financiers |
Quebec
|
20130610
10 Jun 2013
|
|
The Autorité des marchés financiers (the "AMF") is warning Québec consumers about solicitations made by Simon Vodovos through websites and on-line ads encouraging them to invest in Vilaron Corporation, which purports to be an investment fund manager.
more
|
|
Allianz Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20130610
10 Jun 2013
|
|
Firm is cloning details of a FCA Authorised firm.
|
|
Balfour Beatty
|
Financial Conduct Authority |
United Kingdom
|
20130610
10 Jun 2013
|
|
Firm is cloning details of a UK incorporated company.
|
|
Priory Investments Services Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130607
07 Jun 2013
|
|
Advisory warning - Unauthorised investment business
|
|
The Asia Gold Mining Asset Corporation
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130607
07 Jun 2013
|
|
Advisory warning - Unauthorised investment business
|
|
Axis Trading Group Incorporated
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130607
07 Jun 2013
|
|
Advisory warning - Unauthorized investment business
|
|
Unterstützungskasse für Arbeitnehmerschutz und Vorsorge
|
Financial Market Authority |
Austria
|
20130607
07 Jun 2013
|
|
No additional comments posted.
|
|
Ardea Capital LP
|
Financial Conduct Authority |
United Kingdom
|
20130606
06 Jun 2013
|
|
No additional comments posted.
|
|
Reynolds Consultancy Ltd
|
Financial Conduct Authority |
United Kingdom
|
20130606
06 Jun 2013
|
|
No additional comments posted.
|
|
GLOBALFX MANAGEMENT TRADING LIMITED, Road Town (Tortola, British Virgin Islands), Zweigniederlassung Zürich
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130605
05 Jun 2013
|
|
No additional comments posted.
|
|
Lawrence James & Associates
|
Financial Conduct Authority |
United Kingdom
|
20130605
05 Jun 2013
|
|
No additional comments posted.
|
|
Exelyum Ltd
|
Autorité des marchés financiers |
France
|
20130604
04 Jun 2013
|
|
Warning dated 28 May 2013
|
|
www.vivodelabolsa.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20130604
04 Jun 2013
|
|
No additional comments posted.
|
|
Companies Investment Holdings Ltd
|
Financial Conduct Authority |
United Kingdom
|
20130604
04 Jun 2013
|
|
No additional comments posted.
|
|
Platinum Capital Management Limited
|
Financial Conduct Authority |
United Kingdom
|
20130603
03 Jun 2013
|
|
Clone of FCA authorised firm
|
|
Whitmore Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20130603
03 Jun 2013
|
|
No additional comments posted.
|
|
Montgomery Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20130531
31 May 2013
|
|
No additional comments posted.
|
|
Eldridge Financial
|
Financial Conduct Authority |
United Kingdom
|
20130531
31 May 2013
|
|
No additional comments posted.
|
|
EUREX CAPITAL CORP.
|
Superintendencia del Mercado de Valores |
Panama
|
20130531
31 May 2013
|
|
Company not registered.
|
|
Clarity Capital Markets
|
Financial Conduct Authority |
United Kingdom
|
20130531
31 May 2013
|
|
Clone of FCA Authorised firm.
|
|
Casper Holdings Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20130530
30 May 2013
|
|
No additional comments posted.
|
|
Shintomi Trading
|
Securities and Futures Commission |
Hong Kong
|
20130530
30 May 2013
|
|
No additional comments posted.
|
|
Denison Newbrook Reid
|
Securities and Futures Commission |
Hong Kong
|
20130529
29 May 2013
|
|
No additional comments posted.
|
|
Aston Hu & Associates
|
Securities and Futures Commission |
Hong Kong
|
20130529
29 May 2013
|
|
No additional comments posted.
|
|
Casa de Valores, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130528
28 May 2013
|
|
Company not registered
|
|
Felmina Alliance Inc.
|
Superintendencia del Mercado de Valores |
Panama
|
20130528
28 May 2013
|
|
Company not registered
|
|
Capita Registrars
|
Financial Conduct Authority |
United Kingdom
|
20130528
28 May 2013
|
|
Clone of FCA authorised firm
|
|
Platinum Trading Partners GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130528
28 May 2013
|
|
No additional comments posted.
|
|
The Celtic Group LLC (also known as Celtic Finance Group/Celtic Finance Brokers/Cead Mile Failte Finance Services)
|
Central Bank of Ireland |
Ireland
|
20130528
28 May 2013
|
|
The Celtic Group LLC is not authorised as an investment firm by the Central Bank of Ireland and is claiming or holding itself out as an investment firm in the State.
|
|
Auron Group Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20130528
28 May 2013
|
|
The decision to dismiss the investigation issued by the Regional Public Prosecutor Warszawa Praga in Warsaw on 25th September 2014 came into force on 22nd December 2014.
|
|
Nelson Capital Advisors
|
Central Bank of Ireland |
Ireland
|
20130524
24 May 2013
|
|
Nelson Capital Advisors is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
The Masons Corporation
|
Financial Conduct Authority |
United Kingdom
|
20130524
24 May 2013
|
|
No additional comments posted.
|
|
Kuangshi Futures
|
Securities and Futures Commission |
Hong Kong
|
20130524
24 May 2013
|
|
No additional comments posted.
|
|
Cyber Trust Fund Corp
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130523
23 May 2013
|
|
No additional comments posted.
|
|
Department of Foreign Investment Control
|
Financial Conduct Authority |
United Kingdom
|
20130523
23 May 2013
|
|
Firm is purporting to be an US regulator.
|
|
Bergmannwhite Associates
|
Financial Market Authority |
Austria
|
20130523
23 May 2013
|
|
No additional comments posted.
|
|
Stockbridge Partners
|
Financial Market Authority |
Austria
|
20130523
23 May 2013
|
|
No additional comments posted.
|
|
Alliance Direct Management
|
Financial Conduct Authority |
United Kingdom
|
20130522
22 May 2013
|
|
No additional comments posted.
|
|
Taiwan Options and Futures Exchange
|
Securities and Futures Commission |
Hong Kong
|
20130522
22 May 2013
|
|
No additional comments posted.
|
|
Idelson Group
|
Securities and Futures Commission |
Hong Kong
|
20130522
22 May 2013
|
|
No additional comments posted.
|
|
www.yhjrtz.cc
|
Securities and Futures Commission |
Hong Kong
|
20130522
22 May 2013
|
|
No additional comments posted.
|
|
Hermann Brothers Group
|
Financial Conduct Authority |
United Kingdom
|
20130520
20 May 2013
|
|
No additional comments posted.
|
|
Hallmark Financial Solutions / Hallmark Finance Solutions
|
Financial Conduct Authority |
United Kingdom
|
20130520
20 May 2013
|
|
Clone of FCA registered firm.
|
|
Edgewood Equities Capital Investment LLC
|
Financial Conduct Authority |
United Kingdom
|
20130517
17 May 2013
|
|
Firm is cloning details of FCA Authorised (Shedule 5) firm.
|
|
Rainmaker Marketing LLC
|
Autorité des marchés financiers |
Quebec
|
20130516
16 May 2013
|
|
The Autorité des marchés financiers (the "AMF") and the Office de la protection du consommateur are warning Quebeckers about solicitations by Rainmaker Marketing LLC, an American company which seems to target consumers with credit problems.
more
|
|
Altimeter Worldwide Services JLT
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130515
15 May 2013
|
|
No additional comments posted.
|
|
Ostermann Finanz Ltd
|
Financial Services Commission |
Mauritius
|
20130515
15 May 2013
|
|
No additional comments posted.
|
|
Claridon Asset Management
|
Central Bank of Ireland |
Ireland
|
20130515
15 May 2013
|
|
Claridon Asset Management is not authorised to provide investment services in Ireland. The firm purports to be based in the United Kingdom.
|
|
Doncaster Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20130515
15 May 2013
|
|
No additional comments posted.
|
|
Milton Keynes Capital Partners LLP
|
Financial Conduct Authority |
United Kingdom
|
20130515
15 May 2013
|
|
No additional comments posted.
|
|
www.anyoption.com
|
Autorité des marchés financiers |
Quebec
|
20130514
14 May 2013
|
|
The Autorité des marchés financiers (the "AMF") warns investors about www.anyoption.com, which is headquartered in Cyprus. This website provides a trading platform for options.
more
|
|
I-RISK BVBA
|
Financial Services and Markets Authority |
Belgium
|
20130514
14 May 2013
|
|
warning
|
|
Geneve Invest Ireland
|
Central Bank of Ireland |
Ireland
|
20130513
13 May 2013
|
|
Geneve Invest Ireland is not authorised to provide investment services in Ireland.
|
|
Russell Acquisition Group
|
Financial Conduct Authority |
United Kingdom
|
20130510
10 May 2013
|
|
No additional comments posted.
|
|
Pacific Ventures Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20130510
10 May 2013
|
|
No additional comments posted.
|
|
Astorg Partners
|
Financial Conduct Authority |
United Kingdom
|
20130510
10 May 2013
|
|
Firm is cloning details of a FCA EEA Authorised firm.
|
|
Delacour Investments / Delacour Group Ltd
|
Financial Conduct Authority |
United Kingdom
|
20130509
09 May 2013
|
|
No additional comments posted.
|
|
VERIM Management Limited
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20130507
07 May 2013
|
|
No additional comments posted.
|
|
SCH Swiss Capital Holding AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130507
07 May 2013
|
|
No additional comments posted.
|
|
DeVere & Partners UK Limited / DeVere Ltd
|
Financial Conduct Authority |
United Kingdom
|
20130507
07 May 2013
|
|
Firm is cloning details of a FCA Authorised firm.
|
|
Apollo Financial Management
|
Financial Conduct Authority |
United Kingdom
|
20130507
07 May 2013
|
|
No additional comments posted.
|
|
International Corporate Advisors
|
Securities and Futures Commission |
Hong Kong
|
20130507
07 May 2013
|
|
No additional comments posted.
|
|
Changsheng Associates
|
Securities and Futures Commission |
Hong Kong
|
20130507
07 May 2013
|
|
No additional comments posted.
|
|
Kestral International Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130506
06 May 2013
|
|
No additional comments posted.
|
|
SFVA Finance
|
Financial Conduct Authority |
United Kingdom
|
20130503
03 May 2013
|
|
Firm is cloning details of a FCA EEA Authorised firm.
|
|
Emerald Securities
|
Financial Conduct Authority |
United Kingdom
|
20130503
03 May 2013
|
|
No additional comments posted.
|
|
Benefit Planners Intl
|
Financial Conduct Authority |
United Kingdom
|
20130503
03 May 2013
|
|
Clone of formerly FCA EEA authorised firm.
|
|
Hayes Associates
|
Financial Conduct Authority |
United Kingdom
|
20130502
02 May 2013
|
|
No additional comments posted.
|
|
Stabilico Capital Management, Reloaded LLC
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130502
02 May 2013
|
|
No additional comments posted.
|
|
Casa de Valores Bolivariana Internacional de Panama S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130501
01 May 2013
|
|
Company not registered
|
|
Perpetual Strategic Investments
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130430
30 Apr 2013
|
|
No additional comments posted.
|
|
Risk & Portfolio Management Limited
|
Financial Conduct Authority |
United Kingdom
|
20130429
29 Apr 2013
|
|
Clone of FCA EEA authorised firm
|
|
Banvalores Casa de Valores, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130426
26 Apr 2013
|
|
Company not registered
|
|
First Swiss Financial Security Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130425
25 Apr 2013
|
|
No additional comments posted.
|
|
Walton Johnson & Co
|
Financial Conduct Authority |
United Kingdom
|
20130424
24 Apr 2013
|
|
No additional comments posted.
|
|
Global Endowment LLC
|
Financial Conduct Authority |
United Kingdom
|
20130424
24 Apr 2013
|
|
No additional comments posted.
|
|
Otis KPO LLC
|
Financial Conduct Authority |
United Kingdom
|
20130424
24 Apr 2013
|
|
No additional comments posted.
|
|
Smart Stuff Ltd
|
Financial Conduct Authority |
United Kingdom
|
20130424
24 Apr 2013
|
|
Clone of FCA EEA authorised firm
|
|
Mr Guy Declerck,DC BVBA & DCMi-U BVBA and Ermis
|
Financial Services and Markets Authority |
Belgium
|
20130423
23 Apr 2013
|
|
warning
|
|
MAG Financial Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130423
23 Apr 2013
|
|
No additional comments posted.
|
|
Hayes Associates
|
Jersey Financial Services Commission |
Jersey
|
20130423
23 Apr 2013
|
|
No additional comments posted.
|
|
Lotus Fund Ltd
|
Financial Services Commission |
Mauritius
|
20130423
23 Apr 2013
|
|
No additional comments posted.
|
|
Nirvi Management Ltd
|
Financial Services Commission |
Mauritius
|
20130423
23 Apr 2013
|
|
No additional comments posted.
|
|
Lionhill Partners
|
Securities and Futures Commission |
Hong Kong
|
20130423
23 Apr 2013
|
|
No additional comments posted.
|
|
Lifeclub International, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130422
22 Apr 2013
|
|
Company not registered
|
|
Global Financial Services
|
Financial Conduct Authority |
United Kingdom
|
20130422
22 Apr 2013
|
|
Firm is cloning details of a FCA EEA Authorised firm.
|
|
AG Group Advisors
|
Financial Conduct Authority |
United Kingdom
|
20130422
22 Apr 2013
|
|
No additional comments posted.
|
|
Blackhawk Mines Corp.
|
Ontario Securities Commission |
Ontario
|
20130419
19 Apr 2013
|
|
Blackhawk Mines Corp., doing business as blackhawkmines.com, is not registered in Ontario.
|
|
Solamon Energy Corp.
|
Ontario Securities Commission |
Ontario
|
20130419
19 Apr 2013
|
|
Solamon Energy Corp., doing business as solamonenergy.com, is not registered in Ontario.
|
|
INTERNATIONAL CAPITAL INVESTMENT GROUP, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130418
18 Apr 2013
|
|
Company not registered
|
|
Union United Bank AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130418
18 Apr 2013
|
|
No additional comments posted.
|
|
Stein Investment
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130418
18 Apr 2013
|
|
No additional comments posted.
|
|
Greenfield Securities Ltd
|
Financial Conduct Authority |
United Kingdom
|
20130418
18 Apr 2013
|
|
No additional comments posted.
|
|
CFX MARKETS
|
Financial Services and Markets Authority |
Belgium
|
20130418
18 Apr 2013
|
|
warning
|
|
Euro Benefit Network
|
Financial Conduct Authority |
United Kingdom
|
20130417
17 Apr 2013
|
|
Clone of FCA EEA authorised firm
|
|
Grupo Esfer
|
Comisión Nacional del Mercado de Valores |
Spain
|
20130417
17 Apr 2013
|
|
No additional comments posted.
|
|
Karl Johan Fonds ASA
|
Financial Conduct Authority |
United Kingdom
|
20130416
16 Apr 2013
|
|
Clone of former FCA EEA Authorised firm.
|
|
Charles Schwab
|
Financial Conduct Authority |
United Kingdom
|
20130415
15 Apr 2013
|
|
Clone of FCA authorised firm
|
|
Able Capital
|
Financial Conduct Authority |
United Kingdom
|
20130415
15 Apr 2013
|
|
No additional comments posted.
|
|
Princeton Capital Investments Inc.
|
Financial Conduct Authority |
United Kingdom
|
20130411
11 Apr 2013
|
|
No additional comments posted.
|
|
Winbase Equities
|
Australian Securities and Investments Commission |
Australia
|
20130411
11 Apr 2013
|
|
No additional comments posted.
|
|
Wheeler Asset Group
|
Australian Securities and Investments Commission |
Australia
|
20130411
11 Apr 2013
|
|
No additional comments posted.
|
|
Forex investments : unauthorised websites and entities
|
Autorité des marchés financiers |
France
|
20130410
10 Apr 2013
|
|
Warning dated 8 April, 2013 updating previous warnings made jointly by the AMF and ACP.
|
|
Anderson Holding Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20130409
09 Apr 2013
|
|
No additional comments posted.
|
|
HMB Investments
|
Financial Market Authority |
Austria
|
20130408
08 Apr 2013
|
|
No additional comments posted.
|
|
Financial Consulting World LTD
|
Financial Market Authority |
Austria
|
20130408
08 Apr 2013
|
|
No additional comments posted.
|
|
Stravia Biz Incorporated
|
Superintendencia del Mercado de Valores |
Panama
|
20130405
05 Apr 2013
|
|
Company not registered
|
|
Blackstar Capital Management Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130405
05 Apr 2013
|
|
Advisory warning - Unauthorized investment business
|
|
Troy McDonald
|
Securities and Futures Commission |
Hong Kong
|
20130405
05 Apr 2013
|
|
No additional comments posted.
|
|
Credit Suisse (UK) Limited
|
Financial Conduct Authority |
United Kingdom
|
20130404
04 Apr 2013
|
|
(Clone of FSA authorised firm)
|
|
Eagle Commerce Group
|
Central Bank of Ireland |
Ireland
|
20130404
04 Apr 2013
|
|
Eagle Commerce Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Dean Witter Consultancy
|
Central Bank of Ireland |
Ireland
|
20130403
03 Apr 2013
|
|
Dean Witter Consultancy is not authorised to provide investment business services in Ireland. The firm purports to be based in the USA.
|
|
H Taft Private Equity
|
Financial Conduct Authority |
United Kingdom
|
20130328
28 Mar 2013
|
|
No additional comments posted.
|
|
AG Group
|
Jersey Financial Services Commission |
Jersey
|
20130328
28 Mar 2013
|
|
No additional comments posted.
|
|
Persist Global Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20130328
28 Mar 2013
|
|
(Clone of FSA EEA authorised firm)
|
|
Persist Global Wealth Management/PGWM Ltd
|
Financial Conduct Authority |
United Kingdom
|
20130328
28 Mar 2013
|
|
Clone of FSA EEA authorised firm
|
|
Genkai Securities
|
Securities and Futures Commission |
Hong Kong
|
20130328
28 Mar 2013
|
|
No additional comments posted.
|
|
Ironbridge Capital
|
Financial Conduct Authority |
United Kingdom
|
20130328
28 Mar 2013
|
|
Firm is cloning details of a FSA Authorised firm.
|
|
Scott and Fischer Consultancy Limited
|
Central Bank of Ireland |
Ireland
|
20130327
27 Mar 2013
|
|
Scott and Fischer Consultancy Limited is not authorised to provide investment business services in Ireland. The firm purports to be based in the USA.
|
|
Westhill Partners Inc.
|
Central Bank of Ireland |
Ireland
|
20130327
27 Mar 2013
|
|
Westhill Partners Inc. is not authorised to provide investment business services in Ireland. The firm purports to be based in the USA.
|
|
Hermann Brothers Group
|
Central Bank of Ireland |
Ireland
|
20130327
27 Mar 2013
|
|
Hermann Brothers Group is not authorised to provide investment business services in Ireland. The firm purports to be based in the USA.
|
|
AGF Europe Advisors
|
Financial Conduct Authority |
United Kingdom
|
20130327
27 Mar 2013
|
|
Firm is cloning details of a FSA EEA Authorised firm.
|
|
Global Cap. Equity Group
|
Securities and Futures Commission |
Hong Kong
|
20130327
27 Mar 2013
|
|
No additional comments posted.
|
|
TRADE4 PROFIT
|
Financial Services and Markets Authority |
Belgium
|
20130326
26 Mar 2013
|
|
warning
|
|
RISK & PORTFOLIO MANAGEMENT LTD
|
Financial Services and Markets Authority |
Belgium
|
20130326
26 Mar 2013
|
|
warning
|
|
Laurent & Linden
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130325
25 Mar 2013
|
|
No additional comments posted.
|
|
Coninver Asesores, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20130325
25 Mar 2013
|
|
No additional comments posted.
|
|
Mijave Inversiones, SL (MJ Inversiones)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20130325
25 Mar 2013
|
|
No additional comments posted.
|
|
Preferred Management Group, S.A. and PTY Management
|
Superintendencia del Mercado de Valores |
Panama
|
20130322
22 Mar 2013
|
|
Companies not authorized
|
|
High Yield Investment Programs
|
British Columbia Securities Commission |
British Columbia
|
20130322
22 Mar 2013
|
|
General Alert on High Yield Investment Programs.
|
|
Department of Financial Trading
|
Financial Conduct Authority |
United Kingdom
|
20130322
22 Mar 2013
|
|
No additional comments posted.
|
|
Bernstein, Whitman & Lloyds
|
Central Bank of Ireland |
Ireland
|
20130322
22 Mar 2013
|
|
Bernstein, Whitman & Lloyds is not authorised to provide investment business services in Ireland. The firm purports to be based in the USA.
|
|
Kiefer Business Services LLC
|
Financial Conduct Authority |
United Kingdom
|
20130322
22 Mar 2013
|
|
No additional comments posted.
|
|
DAGMARA DZIUBYNA G & DINVEST I WSPÓLNICY
|
Polish Financial Supervision Authority |
Poland
|
20130320
20 Mar 2013
|
|
No additional comments posted.
|
|
Power House Private Banking
|
Polish Financial Supervision Authority |
Poland
|
20130320
20 Mar 2013
|
|
No additional comments posted.
|
|
Key Solutions, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20130320
20 Mar 2013
|
|
No additional comments posted.
|
|
Izard Quin Division Holding Limited
|
Central Bank of Ireland |
Ireland
|
20130320
20 Mar 2013
|
|
Izard Quin Division Holding Limited is not authorised to provide investment business services in Ireland. The firm purports to be based in Switzerland
|
|
Impakt Online Marketing
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20130320
20 Mar 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Stanley King AG
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20130320
20 Mar 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Hanalex Services Ltd. (doing business as TradeQuicker.com)
|
Ontario Securities Commission |
Ontario
|
20130315
15 Mar 2013
|
|
Company not registered
|
|
2013 Best Invest
|
Financial Conduct Authority |
United Kingdom
|
20130315
15 Mar 2013
|
|
Firm is cloning details of FSA Authorised firms.
|
|
Brown Brothers Harriman SCA
|
Financial Conduct Authority |
United Kingdom
|
20130315
15 Mar 2013
|
|
Firm is cloning details of a FSA EEA Authorised firm.
|
|
NEW CASTLE DISTRIBUTORS
|
Financial Services and Markets Authority |
Belgium
|
20130315
15 Mar 2013
|
|
warning
|
|
CARTIUS FINANCE
|
Financial Services and Markets Authority |
Belgium
|
20130315
15 Mar 2013
|
|
warning
|
|
European Value Partner Advisors (EVPA)
|
Financial Conduct Authority |
United Kingdom
|
20130315
15 Mar 2013
|
|
Clone of FSA EEA authorised firm.
|
|
AGF Europe Advisors
|
Central Bank of Ireland |
Ireland
|
20130315
15 Mar 2013
|
|
AGF Europe Advisors is not authorised to provide investment business services in Ireland. The firm purports to be based in the UK
|
|
Clarity Capital Markets
|
Securities and Futures Commission |
Hong Kong
|
20130315
15 Mar 2013
|
|
No additional comments posted.
|
|
Hong Kong Regulatory Board
|
Securities and Futures Commission |
Hong Kong
|
20130315
15 Mar 2013
|
|
No additional comments posted.
|
|
International Investor Protection Coalition
|
Securities and Futures Commission |
Hong Kong
|
20130315
15 Mar 2013
|
|
No additional comments posted.
|
|
Master Polar Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130314
14 Mar 2013
|
|
Unauthorised financial services business
|
|
UPME Group Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130314
14 Mar 2013
|
|
Unauthorised financial services business
|
|
Kent Capital Partners Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130314
14 Mar 2013
|
|
Unauthorised financial services business
|
|
Granite Global Insurance Company Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130314
14 Mar 2013
|
|
Unauthorised financial services business
|
|
Mason Dunne
|
Financial Conduct Authority |
United Kingdom
|
20130313
13 Mar 2013
|
|
No additional comments posted.
|
|
Profitable Sunrise
|
British Columbia Securities Commission |
British Columbia
|
20130312
12 Mar 2013
|
|
No additional comments posted.
|
|
Profitable Sunrise
|
Autorité des marchés financiers |
Quebec
|
20130312
12 Mar 2013
|
|
The Autorité des marchés financiers (the AMF) is warning Quebeckers about investment contracts offered by Inter Reef LTD, also known as Profitable Sunrise on the Internet, which purports to be a British company and is not authorized to carry on busin
more
|
|
WFB-Financial Consulting World Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130312
12 Mar 2013
|
|
No additional comments posted.
|
|
Izard Quin Division Holding Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130312
12 Mar 2013
|
|
No additional comments posted.
|
|
Money Management AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130311
11 Mar 2013
|
|
No additional comments posted.
|
|
Banque Louis-co
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130311
11 Mar 2013
|
|
No additional comments posted.
|
|
MCI Zurich
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130311
11 Mar 2013
|
|
No additional comments posted.
|
|
Suisse invest private capital group A.G.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130311
11 Mar 2013
|
|
No additional comments posted.
|
|
UB Trading
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130311
11 Mar 2013
|
|
No additional comments posted.
|
|
Scorpion Performance Inc.
|
Autorité des marchés financiers |
Quebec
|
20130307
07 Mar 2013
|
|
The Autorité des marchés financiers (the AMF) cautions the investors with regard to the activities of Scorpion Performance Inc., headquartered in Florida, USA.
more
|
|
Bernstein, Whitman & Lloyds
|
Financial Conduct Authority |
United Kingdom
|
20130307
07 Mar 2013
|
|
No additional comments posted.
|
|
State Street Advisory
|
Financial Conduct Authority |
United Kingdom
|
20130307
07 Mar 2013
|
|
cloning FSA authorised firm.
|
|
Prescott Fitzgerald Incorporated
|
Superintendencia del Mercado de Valores |
Panama
|
20130306
06 Mar 2013
|
|
Company not registered - english
|
|
Prescott Fitzgerald Incorporated
|
Superintendencia del Mercado de Valores |
Panama
|
20130306
06 Mar 2013
|
|
Company not registered - spanish
|
|
Ariun Financial Group
|
Financial Conduct Authority |
United Kingdom
|
20130306
06 Mar 2013
|
|
Firm is cloning details of a FSA Registered firm.
|
|
Archipelago Corporate Services Inc.
|
Finansinspektionen |
Sweden
|
20130306
06 Mar 2013
|
|
No additional comments posted.
|
|
Eden Management Partners
|
Financial Market Authority |
Austria
|
20130305
05 Mar 2013
|
|
No additional comments posted.
|
|
House of Finance AG
|
Financial Market Authority |
Austria
|
20130305
05 Mar 2013
|
|
No additional comments posted.
|
|
Lawrence James and Associates
|
Central Bank of Ireland |
Ireland
|
20130305
05 Mar 2013
|
|
Lawrence James and Associates is not authorised to provide investment business services in Ireland. The firm purports to be based in the USA
|
|
Blackswan Morgan
|
Financial Conduct Authority |
United Kingdom
|
20130305
05 Mar 2013
|
|
No additional comments posted.
|
|
Kedington Advisory
|
Finansinspektionen |
Sweden
|
20130305
05 Mar 2013
|
|
No additional comments posted.
|
|
Menzies Overseas Limited
|
Finansinspektionen |
Sweden
|
20130305
05 Mar 2013
|
|
No additional comments posted.
|
|
Yakamoto Investments
|
Financial Conduct Authority |
United Kingdom
|
20130304
04 Mar 2013
|
|
No additional comments posted.
|
|
Everest Asset Management AG
|
Finansinspektionen |
Sweden
|
20130304
04 Mar 2013
|
|
No additional comments posted.
|
|
Impakt Online Marketing (IOM)
|
Finansinspektionen |
Sweden
|
20130304
04 Mar 2013
|
|
No additional comments posted.
|
|
GENESIS CONSULTORIA LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20130301
01 Mar 2013
|
|
Unauthorized offering of investment oportunities in funds and portfolio management services through the internet webpage: http://www.genesisassociados.com
|
|
INSIDE GESTÃO DE RECURSOS LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20130301
01 Mar 2013
|
|
Unauthorized offering of portfolio management services through the internet webpage:
more
|
|
New England Private Equity LLC
|
Financial Conduct Authority |
United Kingdom
|
20130301
01 Mar 2013
|
|
No additional comments posted.
|
|
Frank Goldenberg Yoshi
|
Financial Conduct Authority |
United Kingdom
|
20130301
01 Mar 2013
|
|
Cloned of Inactive FSA authorised approved individuals.
|
|
Frank Goldenberg Yoshi
|
Central Bank of Ireland |
Ireland
|
20130301
01 Mar 2013
|
|
Frank Goldenberg Yoshi is not authorised to provide investment business services in Ireland. The firm purports to be based in Hong Kong.
|
|
Ocean Mergers & Acquisitions
|
Finansinspektionen |
Sweden
|
20130301
01 Mar 2013
|
|
No additional comments posted.
|
|
Peking Dragon Limited
|
Finansinspektionen |
Sweden
|
20130301
01 Mar 2013
|
|
No additional comments posted.
|
|
Regency Group Inc. / United States Regulatory Securities Agency
|
Finansinspektionen |
Sweden
|
20130301
01 Mar 2013
|
|
Also refering to a fictitious regulator: United States Regulatory Securities Agency
|
|
Feinler Management Group
|
Financial Conduct Authority |
United Kingdom
|
20130228
28 Feb 2013
|
|
No additional comments posted.
|
|
Imré Horvath
|
Financial Services and Markets Authority |
Belgium
|
20130228
28 Feb 2013
|
|
warning
|
|
Rothenburger Emissionshaus
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130227
27 Feb 2013
|
|
No additional comments posted.
|
|
Financial Trading Board
|
Financial Conduct Authority |
United Kingdom
|
20130227
27 Feb 2013
|
|
Firm is purporting to be an US regulator.
|
|
Winbase Equities
|
Securities and Futures Commission |
Hong Kong
|
20130226
26 Feb 2013
|
|
No additional comments posted.
|
|
Summit Capital Management
|
Securities and Futures Commission |
Hong Kong
|
20130226
26 Feb 2013
|
|
No additional comments posted.
|
|
Grupo Re Mida, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Itrade Secrets, Inc., Capital Wealth Fund, Inc. and CWF Holding Services, Inc.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
PMA Global Management, S.A., Limited Risk Investment, S.A., Boston Management, S.A., Chicago Comodities and Real Option Advisors
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Douglas Charles, Inc.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Centex Resources S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Sky Invesments Corp, Sky Investment Corporation and Sky Hedge Fund, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Orion International Trading Inc.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Atlantic Financial Holding, Inc.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Global Capital Managers, S.A. / Inter Euro Data, S.A
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Wao Motor Corporation
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Flamel Trading Limited and Publimedia Marketing Services, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Olympic Capital Fund, Inc.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Regency Asesores de Inversiones
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Virgin Gold Mining Corporation
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Intertrading Consulting Inc.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Financiera Prontocash, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Elan Holding Corp.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Capital Business Panamá, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
James B. Clarke & Co. Ltd.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
ECN Alpha Limited Inc.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Traders International Return Network (TIRN, INC.)
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Sebond Capital Corp.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
National Home Marketers, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
Euroinvest Worldwide Inc.
|
Superintendencia del Mercado de Valores |
Panama
|
20130225
25 Feb 2013
|
|
Company not registered
|
|
www.natwestint.net.ms
|
Jersey Financial Services Commission |
Jersey
|
20130225
25 Feb 2013
|
|
No additional comments posted.
|
|
Limmat Finance AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130222
22 Feb 2013
|
|
No additional comments posted.
|
|
Boston Acquisition Group
|
Financial Conduct Authority |
United Kingdom
|
20130221
21 Feb 2013
|
|
No additional comments posted.
|
|
MB Transfer
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130221
21 Feb 2013
|
|
No additional comments posted.
|
|
MCI-Zurich
|
Financial Conduct Authority |
United Kingdom
|
20130219
19 Feb 2013
|
|
No additional comments posted.
|
|
Dom Inwestycyjny
|
Polish Financial Supervision Authority |
Poland
|
20130219
19 Feb 2013
|
|
No additional comments posted.
|
|
Nelson Capital Advisors
|
Financial Conduct Authority |
United Kingdom
|
20130218
18 Feb 2013
|
|
No additional comments posted.
|
|
Reynolds Merger Solutions
|
Financial Conduct Authority |
United Kingdom
|
20130215
15 Feb 2013
|
|
No additional comments posted.
|
|
Spectrum Capital Management
|
Securities and Futures Commission |
Hong Kong
|
20130215
15 Feb 2013
|
|
No additional comments posted.
|
|
CONCRED GmbH
|
Financial Market Authority |
Austria
|
20130215
15 Feb 2013
|
|
No additional comments posted.
|
|
Leaderoption.com
|
Autorité des marchés financiers |
Quebec
|
20130214
14 Feb 2013
|
|
The Autorité des marchés financiers (the AMF) cautions investors about the www.leaderoption.com website, whose head office is located in the British Virgin Islands. In the past, this website has advertised itself as Québec's trading leader, although
more
|
|
Secured Forex Promotion & Information GmbH
|
Financial Market Authority |
Austria
|
20130214
14 Feb 2013
|
|
No additional comments posted.
|
|
Qatar Financial Investment
|
Financial Market Authority |
Austria
|
20130214
14 Feb 2013
|
|
No additional comments posted.
|
|
Global Partners Securities
|
Financial Conduct Authority |
United Kingdom
|
20130213
13 Feb 2013
|
|
No additional comments posted.
|
|
Pareto Invest Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20130213
13 Feb 2013
|
|
No additional comments posted.
|
|
The Mergers Group
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20130212
12 Feb 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
HMB Investments
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20130212
12 Feb 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
www.sboffshore.com
|
Isle of Man Financial Services Authority |
Isle of Man
|
20130212
12 Feb 2013
|
|
Apparently bogus phishing emails linking to website www.sboffshore.com purporting to be genuine Standard Bank Isle of Man Limited
|
|
Infinia Securities
|
Financial Conduct Authority |
United Kingdom
|
20130211
11 Feb 2013
|
|
Firm is cloning details of a FSA EEA Authorised firm.
|
|
Mayer Thomas
|
Financial Conduct Authority |
United Kingdom
|
20130211
11 Feb 2013
|
|
Firm is cloning details of a FSA EEA Authorised firm.
|
|
WAGNER BERN / MATTHEW GOODMAN
|
Financial Services and Markets Authority |
Belgium
|
20130208
08 Feb 2013
|
|
warning
|
|
COROLLA FINANCIAL
|
Financial Services and Markets Authority |
Belgium
|
20130208
08 Feb 2013
|
|
warning
|
|
Cohen Corporate Consulting
|
Financial Conduct Authority |
United Kingdom
|
20130208
08 Feb 2013
|
|
No additional comments posted.
|
|
GBH Holding and GBH Private Equity Securities, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130207
07 Feb 2013
|
|
Company not registered
|
|
Fondo de Pensiones Generar, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130207
07 Feb 2013
|
|
Company not registered
|
|
Alliance International Limited, Inc.
|
Superintendencia del Mercado de Valores |
Panama
|
20130207
07 Feb 2013
|
|
Company not registered
|
|
Perfect Money Finance Corp.
|
Superintendencia del Mercado de Valores |
Panama
|
20130207
07 Feb 2013
|
|
Company not registered
|
|
Brokerage Company Limited, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20130207
07 Feb 2013
|
|
Company not registered
|
|
Value International Corp.
|
Superintendencia del Mercado de Valores |
Panama
|
20130207
07 Feb 2013
|
|
Company not registered
|
|
Landora Investing Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130206
06 Feb 2013
|
|
Advisory warning - unauthorized investment business
|
|
Fidelis Research Group
|
Financial Conduct Authority |
United Kingdom
|
20130206
06 Feb 2013
|
|
No additional comments posted.
|
|
Smith and Olsson
|
Financial Conduct Authority |
United Kingdom
|
20130206
06 Feb 2013
|
|
No additional comments posted.
|
|
Mendel Meir & Safwat
|
Financial Conduct Authority |
United Kingdom
|
20130206
06 Feb 2013
|
|
No additional comments posted.
|
|
Fund Logic
|
Financial Conduct Authority |
United Kingdom
|
20130205
05 Feb 2013
|
|
Clone of FSA EEA Authorised firm
|
|
Anderson Franklin Sullivan Partners Ltd.
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20130205
05 Feb 2013
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Caja Genève WorldPay
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130205
05 Feb 2013
|
|
No additional comments posted.
|
|
SCOEx, Swiss Commodities & Options Exchange
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130204
04 Feb 2013
|
|
No additional comments posted.
|
|
John and Langerdorf Associates
|
Financial Conduct Authority |
United Kingdom
|
20130201
01 Feb 2013
|
|
No additional comments posted.
|
|
Pendulum Capital Markets Inc.
|
Central Bank of Ireland |
Ireland
|
20130201
01 Feb 2013
|
|
Pendulum Capital Markets Inc. is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Haffkin-Roth / South Korea Derivatives Exchange, SKDEX
|
Finansinspektionen |
Sweden
|
20130131
31 Jan 2013
|
|
No additional comments posted.
|
|
Informatica y gestión Costa del Sol, SL (I&Gc.s.)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20130129
29 Jan 2013
|
|
No additional comments posted.
|
|
Securities Trading Board
|
Financial Conduct Authority |
United Kingdom
|
20130129
29 Jan 2013
|
|
No additional comments posted.
|
|
Tifozi Investments Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130129
29 Jan 2013
|
|
Aka: OptionRally
more
|
|
Pacific Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20130129
29 Jan 2013
|
|
No additional comments posted.
|
|
Swiss Money Finance Ltd.
|
Financial Market Authority |
Austria
|
20130128
28 Jan 2013
|
|
No additional comments posted.
|
|
Hemmington Capital Markets
|
Financial Market Authority |
Austria
|
20130128
28 Jan 2013
|
|
No additional comments posted.
|
|
Tokushima Worldwide
|
Financial Market Authority |
Austria
|
20130128
28 Jan 2013
|
|
No additional comments posted.
|
|
Jacobs & Keller
|
Financial Market Authority |
Austria
|
20130128
28 Jan 2013
|
|
No additional comments posted.
|
|
Savings Fund Limited
|
Czech National Bank |
Czech Republic
|
20130128
28 Jan 2013
|
|
The Czech National Bank wishes to point out that Savings Fund Limited, which is offering banking and other financial services via an internet presentation, see http://www.savingsfunds.co.nz/cz/index.php, in the Czech language, currently has no author
more
|
|
FTGFX Solutions Inc. (doing business as FxRebateGurus.com)
|
Ontario Securities Commission |
Ontario
|
20130125
25 Jan 2013
|
|
Company not registered
|
|
COLLINGBOURNE GROUP
|
Financial Conduct Authority |
United Kingdom
|
20130124
24 Jan 2013
|
|
No additional comments posted.
|
|
Fairbairn Private Bank
|
Jersey Financial Services Commission |
Jersey
|
20130124
24 Jan 2013
|
|
No additional comments posted.
|
|
http://caheninvestimentos.com
|
Comissão de Valores Mobiliários |
Brazil
|
20130124
24 Jan 2013
|
|
Unauthorized offering of investment opportunities in quotas of fund: CAHEN INVESTIMENTOS.
|
|
CR7 REFLORESTAMENTO LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20130124
24 Jan 2013
|
|
Unauthorized ofering of investment oportunities through the internet webpage: www.grupocr7.com.br/web/reflorestamento/
|
|
ELOS BR CONSULTORIA E COMÉRCIO LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20130124
24 Jan 2013
|
|
Unauthorized security intermediation activities.
|
|
KPR Associates S.A.
|
Financial Conduct Authority |
United Kingdom
|
20130124
24 Jan 2013
|
|
No additional comments posted.
|
|
Orcan Software Investments SA
|
Polish Financial Supervision Authority |
Poland
|
20130124
24 Jan 2013
|
|
No additional comments posted.
|
|
Kensington Reserve
|
Financial Conduct Authority |
United Kingdom
|
20130123
23 Jan 2013
|
|
No additional comments posted.
|
|
Stansfield Private Equity Ltd.
|
Finansinspektionen |
Sweden
|
20130123
23 Jan 2013
|
|
No additional comments posted.
|
|
Investec Asset Management Limited
|
Financial Conduct Authority |
United Kingdom
|
20130123
23 Jan 2013
|
|
Clone of FSA authorised firm
|
|
WOW! EMPREENDIMENTOS S/A
|
Comissão de Valores Mobiliários |
Brazil
|
20130122
22 Jan 2013
|
|
Unauthorized public issuing of shares.
|
|
http://www.saturnov.com/
|
Comissão de Valores Mobiliários |
Brazil
|
20130121
21 Jan 2013
|
|
Unauthorized offering of investment opportunities in quotas of fund: FUNDO DE INVESTIMENTO SATURNO V, as well as other investment vehicles.
|
|
Kleinwort Finance
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20130121
21 Jan 2013
|
|
No additional comments posted.
|
|
Hutchinson Partners
|
Financial Conduct Authority |
United Kingdom
|
20130121
21 Jan 2013
|
|
No additional comments posted.
|
|
Titan Worldwide Recovery
|
Financial Conduct Authority |
United Kingdom
|
20130121
21 Jan 2013
|
|
No additional comments posted.
|
|
Walter Harris & Company
|
Financial Conduct Authority |
United Kingdom
|
20130121
21 Jan 2013
|
|
No additional comments posted.
|
|
|
Financial Conduct Authority |
United Kingdom
|
20130121
21 Jan 2013
|
|
No additional comments posted.
|
|
The Toros Group
|
Securities and Futures Commission |
Hong Kong
|
20130121
21 Jan 2013
|
|
No additional comments posted.
|
|
5Decimals Limited
|
Securities and Futures Commission |
Hong Kong
|
20130121
21 Jan 2013
|
|
No additional comments posted.
|
|
Diversified Capital
|
Financial Conduct Authority |
United Kingdom
|
20130118
18 Jan 2013
|
|
No additional comments posted.
|
|
ALLASS BVBA Advisory Group
|
Financial Conduct Authority |
United Kingdom
|
20130114
14 Jan 2013
|
|
Firm is cloning an FSA EEA authorised firm.
|
|
Kalle Business Consulting LLC
|
Financial Conduct Authority |
United Kingdom
|
20130111
11 Jan 2013
|
|
No additional comments posted.
|
|
Admiral Commodities Inc.
|
Finansinspektionen |
Sweden
|
20130111
11 Jan 2013
|
|
No additional comments posted.
|
|
Agentur Bosser
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130111
11 Jan 2013
|
|
No additional comments posted.
|
|
Wheeler Asset Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20130111
11 Jan 2013
|
|
No additional comments posted.
|
|
Parker & Masters LLC
|
Financial Conduct Authority |
United Kingdom
|
20130110
10 Jan 2013
|
|
No additional comments posted.
|
|
Universal Investments (International) Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130108
08 Jan 2013
|
|
Aka: Universal Investments Limited
more
|
|
Morris and Hill Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20130108
08 Jan 2013
|
|
No additional comments posted.
|
|
Credit Pacific Group
|
Securities and Futures Commission |
Hong Kong
|
20130108
08 Jan 2013
|
|
No additional comments posted.
|
|
Credit Pacific Bank Limited
|
Securities and Futures Commission |
Hong Kong
|
20130108
08 Jan 2013
|
|
No additional comments posted.
|
|
Credit Pacific (Asia) Holdings Limited
|
Securities and Futures Commission |
Hong Kong
|
20130108
08 Jan 2013
|
|
No additional comments posted.
|
|
Stansell Corporate Services LLC
|
Financial Conduct Authority |
United Kingdom
|
20130108
08 Jan 2013
|
|
No additional comments posted.
|
|
Credit Pacific (Asia) Asset Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20130108
08 Jan 2013
|
|
No additional comments posted.
|
|
Overseas Corporate Advisors Inc
|
Securities and Futures Commission |
Hong Kong
|
20130108
08 Jan 2013
|
|
No additional comments posted.
|
|
PARK EAST CAPITAL
|
Financial Services and Markets Authority |
Belgium
|
20130107
07 Jan 2013
|
|
warning
|
|
Gordon, Tait & Co. LLC
|
Financial Conduct Authority |
United Kingdom
|
20130104
04 Jan 2013
|
|
No additional comments posted.
|
|
Mitchell Berry Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20130104
04 Jan 2013
|
|
No additional comments posted.
|
|
United World Capital
|
Financial Conduct Authority |
United Kingdom
|
20130103
03 Jan 2013
|
|
Cloning FSA EEA authorised firm
|
|
Maynes Business Services LLC
|
Financial Conduct Authority |
United Kingdom
|
20130103
03 Jan 2013
|
|
No additional comments posted.
|
|
Mercator Amalgamated
|
Financial Conduct Authority |
United Kingdom
|
20130102
02 Jan 2013
|
|
No additional comments posted.
|
|
Benson Union Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20130102
02 Jan 2013
|
|
Aka: Benson Union
more
|
|
St James Fiduciary Wealth Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121224
24 Dec 2012
|
|
No additional comments posted.
|
|
EFG ASSOCIATES AND LINCOLN CAPITAL PARTNERS
|
Financial Services and Markets Authority |
Belgium
|
20121224
24 Dec 2012
|
|
warning
|
|
Harvard Alliance
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121221
21 Dec 2012
|
|
No additional comments posted.
|
|
Pamp Suisse Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121220
20 Dec 2012
|
|
No additional comments posted.
|
|
Litmus Capital Management Group
|
Financial Conduct Authority |
United Kingdom
|
20121220
20 Dec 2012
|
|
Firm is cloning details of a US based company.
|
|
SWFInvestguide Financial Services Inc.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121220
20 Dec 2012
|
|
No additional comments posted.
|
|
Bankhurst Securities
|
Financial Conduct Authority |
United Kingdom
|
20121220
20 Dec 2012
|
|
No additional comments posted.
|
|
Brasrec LLC
|
Ontario Securities Commission |
Ontario
|
20121219
19 Dec 2012
|
|
Company not registered.
|
|
International Securities Authority
|
Ontario Securities Commission |
Ontario
|
20121219
19 Dec 2012
|
|
Company not registered.
|
|
Goldentech Entertainment Software Inc. and Casino VR Inc.
|
Ontario Securities Commission |
Ontario
|
20121219
19 Dec 2012
|
|
Companies not registered.
|
|
Flag Resources (1985) Limited
|
British Columbia Securities Commission |
British Columbia
|
20121218
18 Dec 2012
|
|
No additional comments posted.
|
|
Global Asset Traders Inc.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121218
18 Dec 2012
|
|
No additional comments posted.
|
|
Genesis Transfer Group
|
Financial Conduct Authority |
United Kingdom
|
20121218
18 Dec 2012
|
|
No additional comments posted.
|
|
BCF International Capital S.A.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20121217
17 Dec 2012
|
|
Aka: BCF Bankorp International Capital S.A.
more
|
|
Peekwood Private Trust and Holdings
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20121217
17 Dec 2012
|
|
Advisory warning
|
|
Sharptext Branch Inc.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20121217
17 Dec 2012
|
|
Advisory warning
|
|
AVA Private Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121217
17 Dec 2012
|
|
No additional comments posted.
|
|
LGT International Group (HK) Co., Ltd. und LGTFX Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121217
17 Dec 2012
|
|
No additional comments posted.
|
|
Dragon International
|
Financial Conduct Authority |
United Kingdom
|
20121214
14 Dec 2012
|
|
No additional comments posted.
|
|
Non-standard investments proposed in diverse sectors
|
Autorité des marchés financiers |
France
|
20121214
14 Dec 2012
|
|
No additional comments posted.
|
|
AvaFX
|
Comissão de Valores Mobiliários |
Brazil
|
20121213
13 Dec 2012
|
|
Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
The GrayBurg Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121213
13 Dec 2012
|
|
No additional comments posted.
|
|
Litmus Capital Management Group
|
Finansinspektionen |
Sweden
|
20121213
13 Dec 2012
|
|
Litmus Capital Management Group LLC is impersonating a formerly registered investment adviser firm with a similar name - Litmus Capital Management LLC (CRD Number: 138130; SEC Number: 801-65501), which had the following mailing address: 1325 Avenue o
more
|
|
Mercury Global Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20121213
13 Dec 2012
|
|
No additional comments posted.
|
|
Cohen & Levy Associates
|
Finansinspektionen |
Sweden
|
20121213
13 Dec 2012
|
|
Also refering to a fictitious regulator: U.S. Mergers & Acquisitions Regulators
|
|
Regal International
|
Financial Conduct Authority |
United Kingdom
|
20121212
12 Dec 2012
|
|
Firm is cloning the FRN number of a FSA PSD Agent.
|
|
Ocean International Ltd., Manhattan Capital Corp. and Wealth Capital Corp.
|
Ontario Securities Commission |
Ontario
|
20121211
11 Dec 2012
|
|
Companies not registered.
|
|
Kessler and Partners
|
Financial Conduct Authority |
United Kingdom
|
20121211
11 Dec 2012
|
|
No additional comments posted.
|
|
Bradford Securities LLC
|
Financial Conduct Authority |
United Kingdom
|
20121210
10 Dec 2012
|
|
No additional comments posted.
|
|
Merkel Financial Incorporated
|
Financial Conduct Authority |
United Kingdom
|
20121206
06 Dec 2012
|
|
No additional comments posted.
|
|
Rabo Strategies
|
Financial Conduct Authority |
United Kingdom
|
20121204
04 Dec 2012
|
|
Clone of FSA EEA authorised firm.
|
|
TND CAPITAL
|
Financial Services and Markets Authority |
Belgium
|
20121204
04 Dec 2012
|
|
warning
|
|
ABNEY ASSOCIATES
|
Financial Services and Markets Authority |
Belgium
|
20121204
04 Dec 2012
|
|
warning
|
|
Goldman Sachs International
|
Financial Conduct Authority |
United Kingdom
|
20121203
03 Dec 2012
|
|
Clone of FSA authorised firm.
|
|
World Wide Financial
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121203
03 Dec 2012
|
|
No additional comments posted.
|
|
One Global Management
|
Finansinspektionen |
Sweden
|
20121203
03 Dec 2012
|
|
No additional comments posted.
|
|
Ascot Energy Services Ltd.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20121203
03 Dec 2012
|
|
No additional comments posted.
|
|
Ascot Management Services Ltd.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20121203
03 Dec 2012
|
|
No additional comments posted.
|
|
Golden Grail Ltd.
|
Czech National Bank |
Czech Republic
|
20121130
30 Nov 2012
|
|
The Czech National Bank wishes to point out to activities of Golden Grail Ltd., registered address Trident Chambers, P.O. Box 1388, Victoria, Mahé, Seychelles, Reg. No. 108312, having a representation office at Regus Brno Spielberk, Holandská 2/4, 63
more
|
|
Salomon and Associates
|
Financial Conduct Authority |
United Kingdom
|
20121129
29 Nov 2012
|
|
No additional comments posted.
|
|
Richardson Capital Group/Richardson Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20121129
29 Nov 2012
|
|
No additional comments posted.
|
|
Redford Securities International
|
Securities and Futures Commission |
Hong Kong
|
20121129
29 Nov 2012
|
|
No additional comments posted.
|
|
Rosslin & Wilson Ltd
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20121128
28 Nov 2012
|
|
Aka: Trading Coalition
more
|
|
BVI Financial Services
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20121128
28 Nov 2012
|
|
Aka: BVI Securities & Escrow Ltd.
more
|
|
Montgomery Roth International Ltd
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20121128
28 Nov 2012
|
|
Aka: MRI Limited International BVI
more
|
|
Capital Alliances
|
Autorité des marchés financiers |
France
|
20121128
28 Nov 2012
|
|
Warning dated 23 November 2012.
|
|
Treld Invest GB
|
Autorité des marchés financiers |
France
|
20121128
28 Nov 2012
|
|
Warning dated 22 November 2012.
|
|
China International Capital Group
|
Ontario Securities Commission |
Ontario
|
20121127
27 Nov 2012
|
|
Company not registered
|
|
Epsilon Capital Management ECM
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121127
27 Nov 2012
|
|
No additional comments posted.
|
|
Douglas Charles
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121127
27 Nov 2012
|
|
No additional comments posted.
|
|
BP Holdings
|
Comisión Nacional del Mercado de Valores |
Spain
|
20121126
26 Nov 2012
|
|
No additional comments posted.
|
|
UST Financial Services Corp
|
Financial Conduct Authority |
United Kingdom
|
20121126
26 Nov 2012
|
|
No additional comments posted.
|
|
Prudential Global Group
|
Financial Conduct Authority |
United Kingdom
|
20121123
23 Nov 2012
|
|
No additional comments posted.
|
|
Giles and Hochman Consulting
|
Financial Conduct Authority |
United Kingdom
|
20121123
23 Nov 2012
|
|
No additional comments posted.
|
|
Best Commodity Options S.A.
|
Ontario Securities Commission |
Ontario
|
20121122
22 Nov 2012
|
|
Company not registered
|
|
Fairvesta
|
Autorité des marchés financiers |
France
|
20121122
22 Nov 2012
|
|
Warning issued on 5 November 2012
|
|
China International Capital Group
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20121122
22 Nov 2012
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Blumkin Global
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20121122
22 Nov 2012
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Solaris Financial Solutions
|
Financial Conduct Authority |
United Kingdom
|
20121121
21 Nov 2012
|
|
No additional comments posted.
|
|
Aomori Group
|
Financial Market Authority |
Austria
|
20121121
21 Nov 2012
|
|
No additional comments posted.
|
|
Opulentia S.A.
|
Polish Financial Supervision Authority |
Poland
|
20121121
21 Nov 2012
|
|
No additional comments posted.
|
|
European Consumer & Business Protection Agency ECBPA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121121
21 Nov 2012
|
|
No additional comments posted.
|
|
Warner Abbott Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20121120
20 Nov 2012
|
|
No additional comments posted.
|
|
Talisman Finance
|
Central Bank of Ireland |
Ireland
|
20121120
20 Nov 2012
|
|
Talisman Finance is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Goff Private Equity Limited
|
Central Bank of Ireland |
Ireland
|
20121120
20 Nov 2012
|
|
Goff Private Equity Limited is not authorised as an investment firm in Ireland and is not authorised to provide investment services in Ireland. The firm purports to be based in Ireland
|
|
Eagle Advisors
|
Financial Conduct Authority |
United Kingdom
|
20121120
20 Nov 2012
|
|
Firm is cloning the details of a FSA Authorised firm.
|
|
Maxwell Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20121119
19 Nov 2012
|
|
No additional comments posted.
|
|
Deutsche Bank AG
|
Financial Conduct Authority |
United Kingdom
|
20121119
19 Nov 2012
|
|
(Clone of FSA EEA authorised firm)
|
|
WILLIAM BLAKE
|
Financial Services and Markets Authority |
Belgium
|
20121116
16 Nov 2012
|
|
warning
|
|
Scottsdale Capital Consultancy Services
|
Financial Conduct Authority |
United Kingdom
|
20121115
15 Nov 2012
|
|
No additional comments posted.
|
|
Mergers & Acquisitions Supervision & Administration Commission (MASAC)
|
Financial Conduct Authority |
United Kingdom
|
20121115
15 Nov 2012
|
|
Fictitious regulator.
|
|
Pacific Transfers International
|
Securities and Futures Commission |
Hong Kong
|
20121115
15 Nov 2012
|
|
No additional comments posted.
|
|
Shanghai Continental Futures Co. Ltd. / SCFS Group Limited
|
Securities and Futures Commission |
Hong Kong
|
20121115
15 Nov 2012
|
|
No additional comments posted.
|
|
Lear Capital Group
|
Securities and Futures Commission |
Hong Kong
|
20121115
15 Nov 2012
|
|
No additional comments posted.
|
|
Strategic Global Investments / SGI Traders SA
|
British Columbia Securities Commission |
British Columbia
|
20121114
14 Nov 2012
|
|
No additional comments posted.
|
|
Eureka Consulting Ltd
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20121114
14 Nov 2012
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Trans Reliance Inc
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20121114
14 Nov 2012
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
GBTRADE International Worldwide Limited
|
Securities and Futures Commission |
Hong Kong
|
20121114
14 Nov 2012
|
|
No additional comments posted.
|
|
ChargeXP Investments Ltd. (doing business as uTrader.com)
|
Ontario Securities Commission |
Ontario
|
20121113
13 Nov 2012
|
|
Company not registered
|
|
PROACTIVE MANAGEMENT GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121113
13 Nov 2012
|
|
No additional comments posted.
|
|
Sun-Wealth Corporate Finance
|
Financial Conduct Authority |
United Kingdom
|
20121113
13 Nov 2012
|
|
No additional comments posted.
|
|
Walker Financial Management
|
Financial Conduct Authority |
United Kingdom
|
20121112
12 Nov 2012
|
|
Clone of FSA firm
|
|
Eden Management Partners
|
Finansinspektionen |
Sweden
|
20121109
09 Nov 2012
|
|
No additional comments posted.
|
|
Riverbrook Capital
|
Securities and Futures Commission |
Hong Kong
|
20121109
09 Nov 2012
|
|
No additional comments posted.
|
|
Claybourne Group
|
Financial Conduct Authority |
United Kingdom
|
20121109
09 Nov 2012
|
|
No additional comments posted.
|
|
Update-several websites proposing binary options
|
Autorité des marchés financiers |
France
|
20121109
09 Nov 2012
|
|
Warning issued on 24 October 2012
|
|
Center Finance Management
|
Financial Conduct Authority |
United Kingdom
|
20121108
08 Nov 2012
|
|
No additional comments posted.
|
|
Carwash Investment Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20121108
08 Nov 2012
|
|
No additional comments posted.
|
|
Fundacja Castellum
|
Polish Financial Supervision Authority |
Poland
|
20121108
08 Nov 2012
|
|
No additional comments posted.
|
|
Financial Solution Blackstone
|
Central Bank of Ireland |
Ireland
|
20121108
08 Nov 2012
|
|
Financial Solution Blackstone is not authorised to provide investment services in Ireland. The firm purports to be based in Germany.
|
|
Kaiser Young Associates
|
Central Bank of Ireland |
Ireland
|
20121108
08 Nov 2012
|
|
Kaiser Young Associates is not authorised to provide investment services in Ireland. The firm purports to be based in Germany.
|
|
Carlton Capital Inc
|
Financial Conduct Authority |
United Kingdom
|
20121108
08 Nov 2012
|
|
Firm is using the name and address of a broker-dealer firm previously registered in the US.
|
|
Hollerman & Company LLC
|
Financial Conduct Authority |
United Kingdom
|
20121108
08 Nov 2012
|
|
No additional comments posted.
|
|
MAC INSURANCE LIMITED
|
Financial Services and Markets Authority |
Belgium
|
20121108
08 Nov 2012
|
|
WARNING
|
|
Blumkin Global
|
Securities and Futures Commission |
Hong Kong
|
20121107
07 Nov 2012
|
|
No additional comments posted.
|
|
AVI Vermögensberatung
|
Financial Market Authority |
Austria
|
20121106
06 Nov 2012
|
|
No additional comments posted.
|
|
Stanley Clifford
|
Financial Market Authority |
Austria
|
20121106
06 Nov 2012
|
|
No additional comments posted.
|
|
Korea Merchantile Exchange (KRMEX)
|
Financial Market Authority |
Austria
|
20121106
06 Nov 2012
|
|
No additional comments posted.
|
|
Benda Finance
|
Financial Market Authority |
Austria
|
20121106
06 Nov 2012
|
|
No additional comments posted.
|
|
Yamaguchi Partners Global Head Office
|
Financial Market Authority |
Austria
|
20121106
06 Nov 2012
|
|
No additional comments posted.
|
|
Swissmoneybank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121106
06 Nov 2012
|
|
No additional comments posted.
|
|
Ocean Financial Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121106
06 Nov 2012
|
|
No additional comments posted.
|
|
International Finance Court (IFC) Hong Kong
|
Financial Conduct Authority |
United Kingdom
|
20121105
05 Nov 2012
|
|
No additional comments posted.
|
|
SeBond Capital Corporation
|
Ontario Securities Commission |
Ontario
|
20121102
02 Nov 2012
|
|
Company not registered
|
|
Index Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20121102
02 Nov 2012
|
|
No additional comments posted.
|
|
Drake Merger Management
|
Financial Conduct Authority |
United Kingdom
|
20121101
01 Nov 2012
|
|
No additional comments posted.
|
|
Rhaines LLC
|
Financial Conduct Authority |
United Kingdom
|
20121101
01 Nov 2012
|
|
No additional comments posted.
|
|
SWISSFIN GOLDBANCO SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121031
31 Oct 2012
|
|
No additional comments posted.
|
|
Elkin & Associates LLC
|
Financial Conduct Authority |
United Kingdom
|
20121031
31 Oct 2012
|
|
No additional comments posted.
|
|
Lehman Reilly
|
Central Bank of Ireland |
Ireland
|
20121030
30 Oct 2012
|
|
Lehman Reilly is not authorised as an investment firm in Ireland and is not authorised to provide investment services in Ireland. The firm purports to be based in Ireland
|
|
AJ WYMAN & ASSOCIATES LLC
|
Financial Conduct Authority |
United Kingdom
|
20121029
29 Oct 2012
|
|
No additional comments posted.
|
|
Wealth Capital Corp.
|
Autorité des marchés financiers |
Quebec
|
20121025
25 Oct 2012
|
|
The Autorité des marchés financiers (the AMF) is warning investors about telephone solicitations conducted recently to encourage Quebeckers to invest in the derivatives market through Wealth Capital Corp., which is not authorized to carry on business
more
|
|
Heckart Associates LLC
|
Financial Conduct Authority |
United Kingdom
|
20121025
25 Oct 2012
|
|
No additional comments posted.
|
|
Weston and Scott Consultants
|
Financial Conduct Authority |
United Kingdom
|
20121025
25 Oct 2012
|
|
No additional comments posted.
|
|
Vantage Securities
|
Financial Conduct Authority |
United Kingdom
|
20121024
24 Oct 2012
|
|
No additional comments posted.
|
|
Blue Print Securities Ltd, BPS
|
Finansinspektionen |
Sweden
|
20121023
23 Oct 2012
|
|
No additional comments posted.
|
|
Weisberg & Cohen LLC
|
Financial Conduct Authority |
United Kingdom
|
20121023
23 Oct 2012
|
|
No additional comments posted.
|
|
Euro American
|
Financial Conduct Authority |
United Kingdom
|
20121022
22 Oct 2012
|
|
Clone of FSA EEA authorised firm.
|
|
Walten Pichler
|
Financial Conduct Authority |
United Kingdom
|
20121022
22 Oct 2012
|
|
Clone of FSA EEA authorised firm.
|
|
Knox D’Arcy Investment Management Limited
|
Financial Conduct Authority |
United Kingdom
|
20121022
22 Oct 2012
|
|
(Clone of FSA authorised firm)
|
|
Morrison Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20121022
22 Oct 2012
|
|
No additional comments posted.
|
|
Lance Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121019
19 Oct 2012
|
|
No additional comments posted.
|
|
Monarch Wealth Consultants
|
Financial Conduct Authority |
United Kingdom
|
20121019
19 Oct 2012
|
|
No additional comments posted.
|
|
Confoederatio Helvetica Derivatives Futures Exchange
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121019
19 Oct 2012
|
|
No additional comments posted.
|
|
Geneva Commodities SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121019
19 Oct 2012
|
|
No additional comments posted.
|
|
Lincon & Carter Associates
|
Financial Conduct Authority |
United Kingdom
|
20121019
19 Oct 2012
|
|
No additional comments posted.
|
|
Williams Consultancy Limited
|
Financial Conduct Authority |
United Kingdom
|
20121019
19 Oct 2012
|
|
No additional comments posted.
|
|
Nord FX
|
Comissão de Valores Mobiliários |
Brazil
|
20121018
18 Oct 2012
|
|
Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
more
|
|
Robertson Ellis
|
Financial Conduct Authority |
United Kingdom
|
20121018
18 Oct 2012
|
|
No additional comments posted.
|
|
Walten Pichler
|
Central Bank of Ireland |
Ireland
|
20121018
18 Oct 2012
|
|
Walten Pichler is not authorised to provide investment services in Ireland. The firm purports to be based in the UK & Luxembourg.
|
|
Abney Associates
|
Securities and Futures Commission |
Hong Kong
|
20121018
18 Oct 2012
|
|
No additional comments posted.
|
|
Dietrich & Sohn London
|
Financial Market Authority |
Austria
|
20121017
17 Oct 2012
|
|
No additional comments posted.
|
|
Lawson Knight Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121017
17 Oct 2012
|
|
No additional comments posted.
|
|
S-One Financial/Summit One Financial
|
Financial Conduct Authority |
United Kingdom
|
20121017
17 Oct 2012
|
|
No additional comments posted.
|
|
Apex Capital Partners
|
Securities and Futures Commission |
Hong Kong
|
20121017
17 Oct 2012
|
|
No additional comments posted.
|
|
Admiral Finance Group
|
Securities and Futures Commission |
Hong Kong
|
20121017
17 Oct 2012
|
|
No additional comments posted.
|
|
Thompson Gerrard
|
Financial Conduct Authority |
United Kingdom
|
20121016
16 Oct 2012
|
|
Firm is cloning details of a previously FSA registered firm.
|
|
GMC Europe
|
Financial Conduct Authority |
United Kingdom
|
20121016
16 Oct 2012
|
|
Firm is cloning the details of a previously FSA EEA Authorised firm.
|
|
Provost Management
|
Securities and Futures Commission |
Hong Kong
|
20121016
16 Oct 2012
|
|
No additional comments posted.
|
|
Banc De Binary Private Option Bankers
|
Ontario Securities Commission |
Ontario
|
20121015
15 Oct 2012
|
|
Company not registered
|
|
Advice Europe
|
Financial Conduct Authority |
United Kingdom
|
20121015
15 Oct 2012
|
|
Clone of FSA EEA authorised firm
|
|
Mitchell Finch International
|
Comisión Nacional del Mercado de Valores |
Spain
|
20121015
15 Oct 2012
|
|
No additional comments posted.
|
|
Macmillan Fine International
|
Comisión Nacional del Mercado de Valores |
Spain
|
20121015
15 Oct 2012
|
|
No additional comments posted.
|
|
Morgan Finch International
|
Comisión Nacional del Mercado de Valores |
Spain
|
20121015
15 Oct 2012
|
|
No additional comments posted.
|
|
Helen's Financial Home
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20121012
12 Oct 2012
|
|
Advisory warning
|
|
Drake & Childs Global Transfers
|
Financial Conduct Authority |
United Kingdom
|
20121012
12 Oct 2012
|
|
No additional comments posted.
|
|
Money Management AG
|
Financial Market Authority |
Austria
|
20121012
12 Oct 2012
|
|
No additional comments posted.
|
|
Mediacred AG
|
Financial Market Authority |
Austria
|
20121012
12 Oct 2012
|
|
No additional comments posted.
|
|
Münzberg & Partner
|
Financial Market Authority |
Austria
|
20121012
12 Oct 2012
|
|
No additional comments posted.
|
|
Aozora Alliance ehemals Shinsei Associates
|
Financial Market Authority |
Austria
|
20121012
12 Oct 2012
|
|
No additional comments posted.
|
|
www.apolloglobalsecurities.com
|
Financial Market Authority |
Austria
|
20121012
12 Oct 2012
|
|
No additional comments posted.
|
|
Fairway Associates
|
Financial Market Authority |
Austria
|
20121012
12 Oct 2012
|
|
No additional comments posted.
|
|
Paramount Financial Group
|
Financial Market Authority |
Austria
|
20121012
12 Oct 2012
|
|
No additional comments posted.
|
|
Lear Capital Group
|
Finansinspektionen |
Sweden
|
20121011
11 Oct 2012
|
|
No additional comments posted.
|
|
Hemmington Capital Markets / Guangzhou Commodity Exchange, GZCOM
|
Finansinspektionen |
Sweden
|
20121010
10 Oct 2012
|
|
No additional comments posted.
|
|
Drake Merger Management
|
Central Bank of Ireland |
Ireland
|
20121010
10 Oct 2012
|
|
Drake Merger Management is not authorised to provide investment services in Ireland. The firm purports to be based in Japan
|
|
Welling & Company, LLC
|
Financial Conduct Authority |
United Kingdom
|
20121010
10 Oct 2012
|
|
No additional comments posted.
|
|
Charles Pearson Investments International
|
Financial Conduct Authority |
United Kingdom
|
20121010
10 Oct 2012
|
|
No additional comments posted.
|
|
Strauss Jones
|
Financial Conduct Authority |
United Kingdom
|
20121009
09 Oct 2012
|
|
No additional comments posted.
|
|
Asesores Financieros Independientes
|
Comisión Nacional del Mercado de Valores |
Spain
|
20121008
08 Oct 2012
|
|
No additional comments posted.
|
|
BP HOLDINGS
|
Financial Services and Markets Authority |
Belgium
|
20121008
08 Oct 2012
|
|
warning
|
|
Washington, D.C. Securities Division
|
Financial Conduct Authority |
United Kingdom
|
20121005
05 Oct 2012
|
|
The Washington, D.C. Securities Division has no connection with, and should not to be confused with, the genuine Securities Bureau of the Department of Insurance, Securities & Banking (DISB) of the District of Columbia
|
|
Posrednictwo Finansowe
|
Polish Financial Supervision Authority |
Poland
|
20121005
05 Oct 2012
|
|
No additional comments posted.
|
|
Grand Capital Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20121005
05 Oct 2012
|
|
The Regional Court in Katowice issued on May 23, 2014, a final judgment of conviction (file no. act V K 440/13).
|
|
Progold Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20121005
05 Oct 2012
|
|
No additional comments posted.
|
|
Europol Insurance Consulting Group
|
Polish Financial Supervision Authority |
Poland
|
20121005
05 Oct 2012
|
|
No additional comments posted.
|
|
William Blake
|
Finansinspektionen |
Sweden
|
20121005
05 Oct 2012
|
|
No additional comments posted.
|
|
Appleton Associates
|
Financial Conduct Authority |
United Kingdom
|
20121005
05 Oct 2012
|
|
No additional comments posted.
|
|
Worldwide Investors Portfolio
|
Financial Conduct Authority |
United Kingdom
|
20121005
05 Oct 2012
|
|
Clone of FSA authorised firm - Schedule 5.
|
|
P.A.N. Securities LP - Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20121005
05 Oct 2012
|
|
Firm is cloning details of an US broker dealer.
|
|
NBF Forex
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20121004
04 Oct 2012
|
|
No additional comments posted.
|
|
Lawson Knight Group
|
Financial Conduct Authority |
United Kingdom
|
20121004
04 Oct 2012
|
|
No additional comments posted.
|
|
Prime Strategies LLC
|
Financial Conduct Authority |
United Kingdom
|
20121004
04 Oct 2012
|
|
No additional comments posted.
|
|
BP Holdings
|
Finansinspektionen |
Sweden
|
20121004
04 Oct 2012
|
|
No additional comments posted.
|
|
Hannover & Rothchild Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20121001
01 Oct 2012
|
|
No additional comments posted.
|
|
Oakbridge Capital LLC / SGX Financial
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20121001
01 Oct 2012
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
SGX Financial / Oakbridge Capital LLC.
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20121001
01 Oct 2012
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Integrated Tax
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20121001
01 Oct 2012
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Lehman Reilly
|
Financial Conduct Authority |
United Kingdom
|
20121001
01 Oct 2012
|
|
No additional comments posted.
|
|
Lexicon Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20120928
28 Sep 2012
|
|
No additional comments posted.
|
|
Blake Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20120928
28 Sep 2012
|
|
No additional comments posted.
|
|
Worldwide Investors Portfolio
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20120928
28 Sep 2012
|
|
No additional comments posted.
|
|
Remedium - Doradcy Finansowi Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20120927
27 Sep 2012
|
|
No additional comments posted.
|
|
Aros Securities
|
Financial Conduct Authority |
United Kingdom
|
20120927
27 Sep 2012
|
|
Firm is cloning the details of a previously FSA EEA Authorised firm.
|
|
Russell Merger Group
|
Financial Conduct Authority |
United Kingdom
|
20120926
26 Sep 2012
|
|
No additional comments posted.
|
|
Global Direct Equities
|
Financial Conduct Authority |
United Kingdom
|
20120926
26 Sep 2012
|
|
Firm is cloning details of an US broker dealer.
|
|
CENTRAL & EASTERN MARKETS ASSET MANAGEMENT
|
Financial Services and Markets Authority |
Belgium
|
20120925
25 Sep 2012
|
|
warning
|
|
The Tyler Group
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120925
25 Sep 2012
|
|
No additional comments posted.
|
|
Paramount Financial Group
|
Czech National Bank |
Czech Republic
|
20120925
25 Sep 2012
|
|
The Czech National Bank wishes to point out that Paramount Financial Group, registered address Lindengasse 48, 1070 Vienna, Austria, which is addressing potential investors by phone in English with an offer of investment services, currently has no au
more
|
|
Yang Financial
|
Central Bank of Ireland |
Ireland
|
20120924
24 Sep 2012
|
|
Yang Financial is not authorised to provide investment services in Ireland. The firm purports to be based in China.
|
|
BlackHorse Forex
|
Czech National Bank |
Czech Republic
|
20120924
24 Sep 2012
|
|
The Czech National Bank (CNB) would like to inform investors that company BlackHorse Forex s.r.o. with registered office: Slavíkova 6068/18, Ostrava – Poruba 708 00 is not authorized to carry out investment or other regulated activities in the Czech
more
|
|
OTX INVESTIMENTOS
|
Comissão de Valores Mobiliários |
Brazil
|
20120924
24 Sep 2012
|
|
Entity and principals not authorized to perform portifolio management and to publicly offer investment found units.
|
|
International United FX Investments MA Ltd
|
Financial Services Commission |
Mauritius
|
20120924
24 Sep 2012
|
|
No additional comments posted.
|
|
Ghana FX
|
Financial Services Commission |
Mauritius
|
20120924
24 Sep 2012
|
|
No additional comments posted.
|
|
Professional Financial Advisors
|
Financial Conduct Authority |
United Kingdom
|
20120921
21 Sep 2012
|
|
Firm is cloning details of a previously FSA registered firm.
|
|
Bramwell & Kent Consultants LLC
|
Financial Conduct Authority |
United Kingdom
|
20120921
21 Sep 2012
|
|
No additional comments posted.
|
|
Secure Insurance
|
Financial Conduct Authority |
United Kingdom
|
20120921
21 Sep 2012
|
|
Clone of FSA authorised firm.
|
|
Great Southern Investment
|
Finansinspektionen |
Sweden
|
20120920
20 Sep 2012
|
|
No additional comments posted.
|
|
Eurocapital Trading
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120919
19 Sep 2012
|
|
No additional comments posted.
|
|
Dant and Company LLC
|
Financial Conduct Authority |
United Kingdom
|
20120919
19 Sep 2012
|
|
No additional comments posted.
|
|
Leighton International / Leighton High Income Fund / Hang Seng Bank
|
Financial Conduct Authority |
United Kingdom
|
20120919
19 Sep 2012
|
|
Firm is cloning details of bank
|
|
Ocean International Ltd
|
Securities and Futures Commission |
Hong Kong
|
20120919
19 Sep 2012
|
|
No additional comments posted.
|
|
Manhattan Capital Corp
|
Securities and Futures Commission |
Hong Kong
|
20120919
19 Sep 2012
|
|
No additional comments posted.
|
|
Wealth Capital Corp
|
Securities and Futures Commission |
Hong Kong
|
20120919
19 Sep 2012
|
|
No additional comments posted.
|
|
AF Investment Partners Limited
|
Gibraltar Financial Services Commission |
Gibraltar
|
20120918
18 Sep 2012
|
|
The Financial Services Commission has today issued a warning to the public regarding AF Investment Partners Limited.
more
|
|
EuroConsult International Mergers & Acquisitions Ltd
|
Financial Conduct Authority |
United Kingdom
|
20120917
17 Sep 2012
|
|
Clone of FSA authorised firm.
|
|
Trowbridge Capital
|
Financial Conduct Authority |
United Kingdom
|
20120917
17 Sep 2012
|
|
No additional comments posted.
|
|
Emporium Financial, also using the name Emporium Capital, Emporium Financieringen, Magnum Financial and Mango Krediet
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20120917
17 Sep 2012
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Option World
|
Securities and Futures Commission |
Hong Kong
|
20120914
14 Sep 2012
|
|
No additional comments posted.
|
|
Alpha Corporate Consultants LTD
|
Financial Conduct Authority |
United Kingdom
|
20120913
13 Sep 2012
|
|
No additional comments posted.
|
|
Sierra Holdings
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120913
13 Sep 2012
|
|
No additional comments posted.
|
|
CRS MEDIANEIRA E CORRETORA DE TÍTULOS E VALORES MOBILIÁRIOS SÃO GABRIEL & ASSOCIADOS
|
Comissão de Valores Mobiliários |
Brazil
|
20120912
12 Sep 2012
|
|
Unregistered issuer/securities. Not authorized by the CVM of Brazil to publicly offer securities or collective investment contracts.
|
|
MMA Capital Markets Limited (also called MMA Forex & MMA FX)
|
Central Bank of Ireland |
Ireland
|
20120912
12 Sep 2012
|
|
MMA Capital Markets Limited is not authorised as an investment firm in Ireland and is not authorised to provide investment services in Ireland. The firm purports to be based in Ireland & the United Arab Emirates.
|
|
CT Lambson & Associates, LLC
|
Central Bank of Ireland |
Ireland
|
20120912
12 Sep 2012
|
|
CT Lambson & Associates, LLC is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Zheng Bridge Capital
|
Central Bank of Ireland |
Ireland
|
20120912
12 Sep 2012
|
|
Zheng Bridge Capital is not authorised to provide investment services in Ireland. The firm purports to be based in China.
|
|
Sun-Wealth Corporate Finance
|
Central Bank of Ireland |
Ireland
|
20120912
12 Sep 2012
|
|
Sun-Wealth Corporate Finance is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
|
|
Profidex Limited
|
Central Bank of Ireland |
Ireland
|
20120912
12 Sep 2012
|
|
Profidex Limited is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
|
|
Bond Asset Management
|
Central Bank of Ireland |
Ireland
|
20120912
12 Sep 2012
|
|
Bond Asset Management is not authorised to provide investment services in Ireland. The firm purports to be based in the United Kingdom, Germany & Hong Kong.
|
|
York Kingdom International Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20120911
11 Sep 2012
|
|
Advisory warning
|
|
MMIP International Portfolios Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20120911
11 Sep 2012
|
|
Advisory warning
|
|
Johnson McQuade Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20120911
11 Sep 2012
|
|
No additional comments posted.
|
|
Wells Fargo Advisors
|
Financial Conduct Authority |
United Kingdom
|
20120911
11 Sep 2012
|
|
Cloning FSA authorised firm.
|
|
SMO Fitzgerald Global
|
Financial Market Authority |
Austria
|
20120911
11 Sep 2012
|
|
No additional comments posted.
|
|
Wallace Jacob Consultants Corporate Services
|
Financial Conduct Authority |
United Kingdom
|
20120911
11 Sep 2012
|
|
No additional comments posted.
|
|
Alliant Holdings I, Inc
|
Financial Conduct Authority |
United Kingdom
|
20120911
11 Sep 2012
|
|
Firm is using the name of a legitimate US entity.
|
|
Genève Invest (Europe)
|
Autorité des marchés financiers |
France
|
20120910
10 Sep 2012
|
|
Warning issued by the AMF France on 31 August 2012.
|
|
Projetxtreme
|
Autorité des marchés financiers |
France
|
20120910
10 Sep 2012
|
|
Warning issued by the AMF (France) on 28 August concerning a blog: Projetxtreme.
|
|
Asset Management Advisory Services Spain, SL /(AMASS)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120910
10 Sep 2012
|
|
No additional comments posted.
|
|
www.traderforex.eu
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120910
10 Sep 2012
|
|
No additional comments posted.
|
|
Bezpieczne Inwestycje Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20120910
10 Sep 2012
|
|
No additional comments posted.
|
|
Firma Handlowo-Uslugowa Abiko Katarzyna Smolec
|
Polish Financial Supervision Authority |
Poland
|
20120910
10 Sep 2012
|
|
No additional comments posted.
|
|
JM Financial Services Ltd.
|
Financial Conduct Authority |
United Kingdom
|
20120907
07 Sep 2012
|
|
Firm is using the name of a FSA Registered firm.
|
|
Wheeler Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20120907
07 Sep 2012
|
|
No additional comments posted.
|
|
Sprint Hospital
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120906
06 Sep 2012
|
|
Hospital offering bogus job opportunities purporting to be based in Isle of Man
|
|
Abacus Financial Services Limited
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120906
06 Sep 2012
|
|
New website purporting to be genuine Isle of Man entity
|
|
Wells Fargo Securities International Limited/Suncor
|
Financial Conduct Authority |
United Kingdom
|
20120906
06 Sep 2012
|
|
Clone of FSA authorised firm
|
|
Gerrard Investment Management
|
Financial Conduct Authority |
United Kingdom
|
20120906
06 Sep 2012
|
|
Firm is cloning the details of a FSA Authorised Firm.
|
|
Bridgeway Corporate Management
|
Financial Conduct Authority |
United Kingdom
|
20120906
06 Sep 2012
|
|
No additional comments posted.
|
|
IMG Asset Management GmbH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120906
06 Sep 2012
|
|
No additional comments posted.
|
|
Kaiser Young Associates
|
Financial Conduct Authority |
United Kingdom
|
20120905
05 Sep 2012
|
|
No additional comments posted.
|
|
Group Financial Global Ltd.
|
Finansinspektionen |
Sweden
|
20120905
05 Sep 2012
|
|
No additional comments posted.
|
|
Fortress Investment Group
|
Financial Conduct Authority |
United Kingdom
|
20120905
05 Sep 2012
|
|
Clone of FSA authorised firm
|
|
Churchills Mergers and Acquisitions
|
Securities and Futures Commission |
Hong Kong
|
20120905
05 Sep 2012
|
|
No additional comments posted.
|
|
ACT Transfer Services
|
Securities and Futures Commission |
Hong Kong
|
20120905
05 Sep 2012
|
|
No additional comments posted.
|
|
South Atlantic Securities
|
Financial Conduct Authority |
United Kingdom
|
20120904
04 Sep 2012
|
|
No additional comments posted.
|
|
Stanley Clifford / Korea Mercantile Exchange, KRMEX
|
Finansinspektionen |
Sweden
|
20120904
04 Sep 2012
|
|
No additional comments posted.
|
|
Welborn Capital LLC
|
Financial Conduct Authority |
United Kingdom
|
20120903
03 Sep 2012
|
|
Firm is using the name of a legitimate US broker-dealer.
|
|
THE TYLOR GROUP
|
Financial Services and Markets Authority |
Belgium
|
20120903
03 Sep 2012
|
|
warning
|
|
Drake Merger Management
|
Finansinspektionen |
Sweden
|
20120903
03 Sep 2012
|
|
No additional comments posted.
|
|
A Warner Associates / Andrew Warner Associates / AW Associates
|
Financial Conduct Authority |
United Kingdom
|
20120830
30 Aug 2012
|
|
Firm is cloning details of FSA Registered Firm.
|
|
A Walker Associates / Andrew Walker Associates / AW Associates
|
Financial Conduct Authority |
United Kingdom
|
20120830
30 Aug 2012
|
|
Firm is cloning the details of a FSA Registered Firm.
|
|
Lefroy Hudson
|
Financial Conduct Authority |
United Kingdom
|
20120830
30 Aug 2012
|
|
No additional comments posted.
|
|
Omega Trading Group
|
Securities and Futures Commission |
Hong Kong
|
20120830
30 Aug 2012
|
|
No additional comments posted.
|
|
Manor Private Capital, LLC
|
Financial Conduct Authority |
United Kingdom
|
20120828
28 Aug 2012
|
|
Firm is using the name of legitimate US broker-dealer.
|
|
Claymore Capital
|
Financial Conduct Authority |
United Kingdom
|
20120828
28 Aug 2012
|
|
No additional comments posted.
|
|
Alkor Trade Sp. z o.o.
|
Polish Financial Supervision Authority |
Poland
|
20120824
24 Aug 2012
|
|
No additional comments posted.
|
|
Mizar Profit Polska
|
Polish Financial Supervision Authority |
Poland
|
20120824
24 Aug 2012
|
|
No additional comments posted.
|
|
Corolla Financial
|
Danish Financial Supervisory Authority |
Denmark
|
20120824
24 Aug 2012
|
|
The Danish Financial Supervisory Authority has been informed that Corolla Financial unsolicited has offered to carry out financial services. The company is allegedly located in Tokyo, Japan and in Barcelona, Spain. The company's homepage is http://ww
more
|
|
Global Broker
|
Financial Conduct Authority |
United Kingdom
|
20120824
24 Aug 2012
|
|
Cloning of EEA authorised firm
|
|
BRM International
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120823
23 Aug 2012
|
|
No additional comments posted.
|
|
ALIANÇA INCÓRPORI INCORPORAÇÃO & PLANEJAMENTO LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20120823
23 Aug 2012
|
|
Unregistered issuer/securities. Not authorized by the CVM of Brazil to publicly offer securities or collective investment contracts.
|
|
SL. S.S. SCHULTZ & STEIN
|
Financial Market Authority |
Austria
|
20120823
23 Aug 2012
|
|
No additional comments posted.
|
|
Nagoya Corp.
|
Financial Market Authority |
Austria
|
20120823
23 Aug 2012
|
|
No additional comments posted.
|
|
Mitsubishi Finance
|
Financial Market Authority |
Austria
|
20120823
23 Aug 2012
|
|
No additional comments posted.
|
|
Whitegate Partners
|
Financial Market Authority |
Austria
|
20120823
23 Aug 2012
|
|
No additional comments posted.
|
|
Dawson & Crane Inc.
|
Financial Market Authority |
Austria
|
20120823
23 Aug 2012
|
|
No additional comments posted.
|
|
Equicap New York
|
Financial Market Authority |
Austria
|
20120823
23 Aug 2012
|
|
No additional comments posted.
|
|
MediaCred AG
|
Financial Market Authority |
Austria
|
20120823
23 Aug 2012
|
|
No additional comments posted.
|
|
Profton S.A. („4xfinity“)
|
Financial Market Authority |
Austria
|
20120823
23 Aug 2012
|
|
No additional comments posted.
|
|
FINANZ PROFI CH LTD
|
Financial Market Authority |
Austria
|
20120823
23 Aug 2012
|
|
No additional comments posted.
|
|
FCV Broker
|
Financial Conduct Authority |
United Kingdom
|
20120823
23 Aug 2012
|
|
Firm is cloning the details of a FSA EEA Authorised firm.
|
|
China International Capital Group
|
British Columbia Securities Commission |
British Columbia
|
20120822
22 Aug 2012
|
|
No additional comments posted.
|
|
CT Lambson and Associates
|
Financial Conduct Authority |
United Kingdom
|
20120822
22 Aug 2012
|
|
No additional comments posted.
|
|
Excel Brokers Ltd
|
Financial Conduct Authority |
United Kingdom
|
20120822
22 Aug 2012
|
|
Clone of FSA EEA authorised firm
|
|
Guaranteed Stone Banking Services
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120822
22 Aug 2012
|
|
Bogus company falsely claiming to be domiciled in the Isle of Man
|
|
Associated Nominees Limited
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120822
22 Aug 2012
|
|
Bogus company falsely claiming identity of genuine entity in the Isle of Man
|
|
BASIS Fund Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20120821
21 Aug 2012
|
|
Revocation of licence
|
|
Palos Ventures Fund Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20120821
21 Aug 2012
|
|
Revocation of licence
|
|
Leumi-Co
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120821
21 Aug 2012
|
|
No additional comments posted.
|
|
Advice Consultants
|
Financial Conduct Authority |
United Kingdom
|
20120821
21 Aug 2012
|
|
Clone of FSA EEA authorised firm
|
|
Alpen Ressourcen Sparkassa Ekonomisk förening
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120821
21 Aug 2012
|
|
No additional comments posted.
|
|
Alps Resources SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120821
21 Aug 2012
|
|
No additional comments posted.
|
|
Alpen Ressourcen SA
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120821
21 Aug 2012
|
|
No additional comments posted.
|
|
Chronos Finanz AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120821
21 Aug 2012
|
|
No additional comments posted.
|
|
Lavenkov Capital Partners
|
Finansinspektionen |
Sweden
|
20120820
20 Aug 2012
|
|
No additional comments posted.
|
|
Arendee Consulting Group Ltd
|
Securities and Futures Commission |
Hong Kong
|
20120820
20 Aug 2012
|
|
No additional comments posted.
|
|
Milestone AMG
|
Financial Conduct Authority |
United Kingdom
|
20120817
17 Aug 2012
|
|
No additional comments posted.
|
|
Dawson White Trust, DW Trust
|
Finansinspektionen |
Sweden
|
20120817
17 Aug 2012
|
|
No additional comments posted.
|
|
Balanced Securities Plannings Inc.
|
Finansinspektionen |
Sweden
|
20120817
17 Aug 2012
|
|
No additional comments posted.
|
|
Global Assets Management LLC
|
Finansinspektionen |
Sweden
|
20120817
17 Aug 2012
|
|
No additional comments posted.
|
|
SPRINGHILL GROUP
|
Financial Conduct Authority |
United Kingdom
|
20120816
16 Aug 2012
|
|
No additional comments posted.
|
|
Credit Mercantile Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120815
15 Aug 2012
|
|
No additional comments posted.
|
|
Frankfurt Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20120815
15 Aug 2012
|
|
No additional comments posted.
|
|
Eurasia Wealth Services (EWS-Group)
|
Financial Conduct Authority |
United Kingdom
|
20120814
14 Aug 2012
|
|
No additional comments posted.
|
|
MMABank GT
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120814
14 Aug 2012
|
|
No additional comments posted.
|
|
Pex Global
|
Financial Conduct Authority |
United Kingdom
|
20120814
14 Aug 2012
|
|
No additional comments posted.
|
|
Bond Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20120814
14 Aug 2012
|
|
No additional comments posted.
|
|
Hamilton and Pricehouse Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20120809
09 Aug 2012
|
|
No additional comments posted.
|
|
Wellington Management GmbH
|
Financial Conduct Authority |
United Kingdom
|
20120809
09 Aug 2012
|
|
Firm is cloning the details of a FSA Authorised firm.
|
|
Newton Smith Associates
|
Financial Conduct Authority |
United Kingdom
|
20120809
09 Aug 2012
|
|
No additional comments posted.
|
|
Masterseek Corp.
|
Finansinspektionen |
Sweden
|
20120808
08 Aug 2012
|
|
No additional comments posted.
|
|
Luyesteiner Swiss Private Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120807
07 Aug 2012
|
|
No additional comments posted.
|
|
Global Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20120807
07 Aug 2012
|
|
Clone of FSA Appointed Representative
|
|
Hongkong Chuangtou Financial Investment Inc
|
Securities and Futures Commission |
Hong Kong
|
20120807
07 Aug 2012
|
|
No additional comments posted.
|
|
Ferrer Invest
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120807
07 Aug 2012
|
|
No additional comments posted.
|
|
Quest Financial Management
|
Financial Conduct Authority |
United Kingdom
|
20120806
06 Aug 2012
|
|
Clone of FSA authorised firms
|
|
MarkeTradeFX
|
Comissão de Valores Mobiliários |
Brazil
|
20120806
06 Aug 2012
|
|
Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
United World Capital - UWC
|
Comissão de Valores Mobiliários |
Brazil
|
20120806
06 Aug 2012
|
|
Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
MHH Associates
|
Financial Conduct Authority |
United Kingdom
|
20120802
02 Aug 2012
|
|
No additional comments posted.
|
|
Softchange Inc.
|
Securities and Futures Commission |
Hong Kong
|
20120802
02 Aug 2012
|
|
No additional comments posted.
|
|
Pays Gold Inc.
|
Securities and Futures Commission |
Hong Kong
|
20120802
02 Aug 2012
|
|
No additional comments posted.
|
|
Fast Gold Inc.
|
Securities and Futures Commission |
Hong Kong
|
20120802
02 Aug 2012
|
|
No additional comments posted.
|
|
Electronic Money Inc.
|
Securities and Futures Commission |
Hong Kong
|
20120802
02 Aug 2012
|
|
No additional comments posted.
|
|
Fast Gold Exchange
|
Securities and Futures Commission |
Hong Kong
|
20120802
02 Aug 2012
|
|
No additional comments posted.
|
|
Moe Securities
|
Financial Conduct Authority |
United Kingdom
|
20120801
01 Aug 2012
|
|
No additional comments posted.
|
|
Barclay Trust International
|
Financial Conduct Authority |
United Kingdom
|
20120801
01 Aug 2012
|
|
No additional comments posted.
|
|
PLATZ EMPREENDIMENTOS E ADMINISTRADORA LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20120801
01 Aug 2012
|
|
Unregistered issuer/securities. Not authorized by the CVM of Brazil to publicly offer securities or collective investment contracts.
|
|
GNS Wealth Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120731
31 Jul 2012
|
|
No additional comments posted.
|
|
Greenbird Financial
|
Finansinspektionen |
Sweden
|
20120731
31 Jul 2012
|
|
No additional comments posted.
|
|
Federal Asset Management
|
Finansinspektionen |
Sweden
|
20120731
31 Jul 2012
|
|
No additional comments posted.
|
|
Bridgestone Global Partners / London Gold and Commodities Exchange, LGCEX
|
Finansinspektionen |
Sweden
|
20120731
31 Jul 2012
|
|
No additional comments posted.
|
|
Epsilon Capital Management
|
Central Bank of Ireland |
Ireland
|
20120731
31 Jul 2012
|
|
Epsilon Capital Management is not authorised to provide investment services in Ireland. The firm purports to be based in Switzerland.
|
|
Trade4youFX
|
Comissão de Valores Mobiliários |
Brazil
|
20120730
30 Jul 2012
|
|
Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
INVEST-CAPE TOWN LTD
|
Financial Services Commission |
Mauritius
|
20120730
30 Jul 2012
|
|
No additional comments posted.
|
|
Tralian Trade Ltd. and Metal Roi
|
Financial Services Commission |
Mauritius
|
20120730
30 Jul 2012
|
|
No additional comments posted.
|
|
Several website proposing FOREX investments
|
Autorité des marchés financiers |
France
|
20120727
27 Jul 2012
|
|
Warning issued on July 6, 2012.
|
|
websites proposing high yield investments.
|
Autorité des marchés financiers |
France
|
20120727
27 Jul 2012
|
|
Warning issued on July 23, 2012 by the AMF concerning a number of websites proposing high yield investments.
|
|
Fairinvesta
|
Autorité des marchés financiers |
France
|
20120727
27 Jul 2012
|
|
Warning issued by the AMF on July 17,2012.
|
|
GRUPO DE INVESTIMENTO BITCOIN
|
Comissão de Valores Mobiliários |
Brazil
|
20120727
27 Jul 2012
|
|
Link: Within "Atos Declaratórios – Suspensão de Atividade Irregular".
more
|
|
Info Direct Marketing
|
Financial Conduct Authority |
United Kingdom
|
20120727
27 Jul 2012
|
|
No additional comments posted.
|
|
Eaton Capital Americas
|
Finansinspektionen |
Sweden
|
20120726
26 Jul 2012
|
|
No additional comments posted.
|
|
The Kronos Group
|
Finansinspektionen |
Sweden
|
20120726
26 Jul 2012
|
|
No additional comments posted.
|
|
Transunion Financial
|
Finansinspektionen |
Sweden
|
20120726
26 Jul 2012
|
|
No additional comments posted.
|
|
Thomas Capital
|
Financial Conduct Authority |
United Kingdom
|
20120725
25 Jul 2012
|
|
No additional comments posted.
|
|
Morgan Philips Consulting
|
Financial Conduct Authority |
United Kingdom
|
20120724
24 Jul 2012
|
|
No additional comments posted.
|
|
Best Commodity Options
|
Autorité des marchés financiers |
Quebec
|
20120724
24 Jul 2012
|
|
The Autorité des marchés financiers (the “AMF”) cautions investors about recent solicitations made by e-mail and telephone to invest in the derivatives market through Best Commodity Options, a company that is not authorized to operate in Québec.
more
|
|
EFOC European Futures Options Commission
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120724
24 Jul 2012
|
|
No additional comments posted.
|
|
Dawson & Crane Incorporated
|
Securities and Futures Commission |
Hong Kong
|
20120723
23 Jul 2012
|
|
No additional comments posted.
|
|
The Kronos Group
|
Securities and Futures Commission |
Hong Kong
|
20120723
23 Jul 2012
|
|
No additional comments posted.
|
|
International Investment Monetary Fund
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20120720
20 Jul 2012
|
|
Advisory Warning
|
|
Invest Concept Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20120720
20 Jul 2012
|
|
Advisory Warning
|
|
Compass Financial Management
|
Financial Conduct Authority |
United Kingdom
|
20120719
19 Jul 2012
|
|
Firm is cloning the details of a FSA Authorised firm.
|
|
BlueCrest Wealth promoting BlueCrest Beacon Fund
|
Financial Conduct Authority |
United Kingdom
|
20120719
19 Jul 2012
|
|
Firm is cloning the details of a FSA Authorised firm.
|
|
Mercer and Associates Limited
|
Financial Conduct Authority |
United Kingdom
|
20120719
19 Jul 2012
|
|
No additional comments posted.
|
|
Millennium Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20120718
18 Jul 2012
|
|
Firm is cloning details of an FSA authorised firm.
|
|
Faxtor Securities
|
Financial Conduct Authority |
United Kingdom
|
20120717
17 Jul 2012
|
|
Firm is cloning the details of a previously FSA EEA Authorised firm.
|
|
SUMITOMO Financial Corporation
|
Financial Conduct Authority |
United Kingdom
|
20120717
17 Jul 2012
|
|
Firm is using the name of legitimate financial services group.
|
|
Hudson Munroe
|
Financial Conduct Authority |
United Kingdom
|
20120717
17 Jul 2012
|
|
No additional comments posted.
|
|
Harris Trust Private Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20120716
16 Jul 2012
|
|
No additional comments posted.
|
|
High Yield Investment Program (HYIP)
|
Czech National Bank |
Czech Republic
|
20120716
16 Jul 2012
|
|
The Czech National Bank wishes to point out that investment in the High Yield Investment Program (HYIP) with a return of up to 110% in 14 days is being offered publicly via http://investment.jecool.net, with more information available on request at i
more
|
|
Flexaret Investment Inc.
|
Czech National Bank |
Czech Republic
|
20120716
16 Jul 2012
|
|
The Czech National Bank wishes to point out that Flexaret Investment Inc., registered address Trinity House, Albert Street 1402, Victoria Mahe, Seychelles, which is offering investment in options on OTC markets via www.f-investment.com in the Czech l
more
|
|
Arrow Merger Consultants
|
Financial Conduct Authority |
United Kingdom
|
20120716
16 Jul 2012
|
|
No additional comments posted.
|
|
Black River Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20120716
16 Jul 2012
|
|
Clone of FSA authorised firm
|
|
Limited Risk Investment, S.A.
|
Superintendencia del Mercado de Valores |
Panama
|
20120713
13 Jul 2012
|
|
Company not registered
|
|
Ace Financial
|
Financial Conduct Authority |
United Kingdom
|
20120712
12 Jul 2012
|
|
No additional comments posted.
|
|
New Futures Trading International Corporation
|
Ontario Securities Commission |
Ontario
|
20120712
12 Jul 2012
|
|
Company not registered
|
|
Brown and Wenger Consultancy Firm
|
Financial Conduct Authority |
United Kingdom
|
20120712
12 Jul 2012
|
|
No additional comments posted.
|
|
Ikko Investments, Dc Digital Finance Lt, Mika Holdings Inc., 247 Holdings Group Ltd, Market Punter Pty Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20120712
12 Jul 2012
|
|
No additional comments posted.
|
|
CORPORACIÓN FINANCIERA E-BIZ / E-BIZ FINANCIAL CORP.
|
Superintendencia del Mercado de Valores |
Panama
|
20120711
11 Jul 2012
|
|
Company not registered
|
|
HYIPs
|
Autorité des marchés financiers |
France
|
20120711
11 Jul 2012
|
|
Warning issued by the AMF on May 30, 2012 about online guides to High Yield Investment Programmes (HYIPs).
|
|
AGsmallcaps website
|
Autorité des marchés financiers |
France
|
20120711
11 Jul 2012
|
|
Warning issued by the AMF on June 4, 2012 concerning a reminder of the rules on dissemination of investment recommendations, in particular on internet
|
|
Pacific Tycoon
|
Autorité des marchés financiers |
France
|
20120711
11 Jul 2012
|
|
Warning issued by the AMF and the IEOM on June 20, 2012
|
|
Prime Management
|
Financial Conduct Authority |
United Kingdom
|
20120711
11 Jul 2012
|
|
Cloning FSA authorised firm
|
|
Pioneer Global Investments
|
Financial Conduct Authority |
United Kingdom
|
20120711
11 Jul 2012
|
|
Clone of FSA EEA authorised firm
|
|
Blue Ridge Financial Group
|
Financial Conduct Authority |
United Kingdom
|
20120710
10 Jul 2012
|
|
No additional comments posted.
|
|
Blue Ridge Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20120710
10 Jul 2012
|
|
No additional comments posted.
|
|
Christian Lavigne
|
Financial Conduct Authority |
United Kingdom
|
20120710
10 Jul 2012
|
|
Individual may claim to work for FSA authorised firm.
|
|
G.V.F Management Group Ltd (Global Venture Financing)
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20120709
09 Jul 2012
|
|
Advisory Warning
|
|
Blanka Nova
|
Financial Conduct Authority |
United Kingdom
|
20120709
09 Jul 2012
|
|
Clone of FSA EEA authorised firm
|
|
B & T Brokers
|
Financial Conduct Authority |
United Kingdom
|
20120709
09 Jul 2012
|
|
Clone of FSA EEA authorised firms
|
|
Unicorn Finance Group
|
Financial Conduct Authority |
United Kingdom
|
20120706
06 Jul 2012
|
|
No additional comments posted.
|
|
Knox Securities Corp. LLC
|
Ontario Securities Commission |
Ontario
|
20120706
06 Jul 2012
|
|
Company not registered
|
|
Global Investments Ltd
|
Financial Conduct Authority |
United Kingdom
|
20120706
06 Jul 2012
|
|
No additional comments posted.
|
|
Pharma Holdings
|
Financial Conduct Authority |
United Kingdom
|
20120706
06 Jul 2012
|
|
No additional comments posted.
|
|
Wells Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20120705
05 Jul 2012
|
|
No additional comments posted.
|
|
BlueCrest Capital Management / BlueCrest New Investment Capital Hedge Fund (NewCap)
|
Financial Conduct Authority |
United Kingdom
|
20120705
05 Jul 2012
|
|
Firm is cloning the details of a FSA Authorised firm. The fund that it is promoting does not exist.
|
|
Natwest Bank (UK) Limited
|
Jersey Financial Services Commission |
Jersey
|
20120705
05 Jul 2012
|
|
No additional comments posted.
|
|
www.inversionesyfinanzas.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120705
05 Jul 2012
|
|
No additional comments posted.
|
|
Eldridge Financial
|
Financial Conduct Authority |
United Kingdom
|
20120704
04 Jul 2012
|
|
No additional comments posted.
|
|
BI Asset Management / Business Intelligence Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20120703
03 Jul 2012
|
|
Firm is cloning the details of a FSA EEA Authorised firm.
|
|
Baker & Bains
|
Financial Conduct Authority |
United Kingdom
|
20120702
02 Jul 2012
|
|
No additional comments posted.
|
|
International Merger Services Group/IMS
|
Financial Conduct Authority |
United Kingdom
|
20120702
02 Jul 2012
|
|
No additional comments posted.
|
|
William Blair Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20120629
29 Jun 2012
|
|
Cloning of FSA authorised firm
|
|
Securities Trading Board
|
Jersey Financial Services Commission |
Jersey
|
20120629
29 Jun 2012
|
|
No additional comments posted.
|
|
Mitsubishi Finance
|
Financial Conduct Authority |
United Kingdom
|
20120629
29 Jun 2012
|
|
Cloning FSA authorised firm
|
|
Isis Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20120627
27 Jun 2012
|
|
Firm is cloning the details of a FSA Authorised firm.
|
|
IPI CAPITAL S.A.
|
Polish Financial Supervision Authority |
Poland
|
20120626
26 Jun 2012
|
|
On December 22, 2014. The Prosecutor in Warsaw District Prosecutor's Office issued a decision to discontinue the investigation.
|
|
AOT Stock Specialist
|
Financial Conduct Authority |
United Kingdom
|
20120626
26 Jun 2012
|
|
Firm is cloning the details of a previously FSA EEA Authorised firm.
|
|
MA Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20120626
26 Jun 2012
|
|
No additional comments posted.
|
|
AOT Europe
|
Financial Conduct Authority |
United Kingdom
|
20120626
26 Jun 2012
|
|
Firm is cloning the details of a previously FSA EEA Authorised firm.
|
|
Swiss Global Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20120625
25 Jun 2012
|
|
Firm is cloning the details of a FSA EEA Authorised firm.
|
|
Milestone AMG
|
Central Bank of Ireland |
Ireland
|
20120622
22 Jun 2012
|
|
Milestone AMG is not authorised to provide investment services in Ireland. The firm purports to be based in Luxembourg.
|
|
4XCELLENT Ltd
|
Commissione Nazionale per le Società e la Borsa |
Italy
|
20120622
22 Jun 2012
|
|
No additional comments posted.
|
|
Springhill Group
|
Financial Conduct Authority |
United Kingdom
|
20120621
21 Jun 2012
|
|
No additional comments posted.
|
|
Global Financial Products
|
Financial Conduct Authority |
United Kingdom
|
20120621
21 Jun 2012
|
|
Cloning of FSA firm.
|
|
Wellington Capital Markets
|
Finansinspektionen |
Sweden
|
20120621
21 Jun 2012
|
|
No additional comments posted.
|
|
White Market, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120619
19 Jun 2012
|
|
No additional comments posted.
|
|
Micron Associates
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120619
19 Jun 2012
|
|
No additional comments posted.
|
|
Investment of Heritage, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120619
19 Jun 2012
|
|
No additional comments posted.
|
|
Comfimo Inversiones, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120619
19 Jun 2012
|
|
No additional comments posted.
|
|
Foremost Trading LLC
|
Autorité des marchés financiers |
Quebec
|
20120618
18 Jun 2012
|
|
The Autorité des marchés financiers (the "AMF") cautions investors against solicitations carried out by foreign companies that offer Quebeckers access to software and investment systems in the derivatives market with the promise of substantial return
more
|
|
Abacus Financial Services Limited
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120618
18 Jun 2012
|
|
Website www.abacusfinancialservicesltd.com purporting to be genuine regulated Isle of Man entity
|
|
Swiss Prime Financial Services
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120618
18 Jun 2012
|
|
No additional comments posted.
|
|
Global Partners Securities (GPS)
|
Finansinspektionen |
Sweden
|
20120618
18 Jun 2012
|
|
No additional comments posted.
|
|
Ace Financial
|
Finansinspektionen |
Sweden
|
20120614
14 Jun 2012
|
|
No additional comments posted.
|
|
Strategic Carbon Solutions Ltd.
|
Finansinspektionen |
Sweden
|
20120614
14 Jun 2012
|
|
No additional comments posted.
|
|
Pro Smart Advisors / Pro Smart Securities
|
Financial Conduct Authority |
United Kingdom
|
20120614
14 Jun 2012
|
|
Firm is cloning the details of a previously FSA registered firm.
|
|
International Mergers & Acquisitions Administration
|
Financial Conduct Authority |
United Kingdom
|
20120612
12 Jun 2012
|
|
No additional comments posted.
|
|
Murray Merger Group
|
Financial Conduct Authority |
United Kingdom
|
20120612
12 Jun 2012
|
|
No additional comments posted.
|
|
Icon Financial Partners
|
Financial Conduct Authority |
United Kingdom
|
20120612
12 Jun 2012
|
|
No additional comments posted.
|
|
Bentall Kennedy
|
Financial Conduct Authority |
United Kingdom
|
20120612
12 Jun 2012
|
|
No additional comments posted.
|
|
BL Trading Group Inc.
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20120611
11 Jun 2012
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Nagoya Corp
|
Finansinspektionen |
Sweden
|
20120608
08 Jun 2012
|
|
No additional comments posted.
|
|
Reliance Capital
|
Financial Conduct Authority |
United Kingdom
|
20120608
08 Jun 2012
|
|
No additional comments posted.
|
|
Irwin Mitchell
|
Financial Conduct Authority |
United Kingdom
|
20120608
08 Jun 2012
|
|
This is a clone of a FSA authorised firm
|
|
Baker & Bains
|
Finansinspektionen |
Sweden
|
20120607
07 Jun 2012
|
|
No additional comments posted.
|
|
Global Mergers Corporation
|
Finansinspektionen |
Sweden
|
20120607
07 Jun 2012
|
|
No additional comments posted.
|
|
Swiss Fidelity
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120606
06 Jun 2012
|
|
No additional comments posted.
|
|
Business Intelligence
|
Danish Financial Supervisory Authority |
Denmark
|
20120606
06 Jun 2012
|
|
The Danish Financial Supervisory Authority has been informed that unauthorized persons are claiming to be the Danish investment firm BI Asset Management Fondsmæglerselskab A/S, which is under supervision in Denmark. These persons make unauthorized us
more
|
|
BN Financial Services
|
Ontario Securities Commission |
Ontario
|
20120605
05 Jun 2012
|
|
Company not registered
|
|
WhirlWind Energy
|
Ontario Securities Commission |
Ontario
|
20120605
05 Jun 2012
|
|
Company not registered
|
|
Yorkshire Capital
|
Finansinspektionen |
Sweden
|
20120604
04 Jun 2012
|
|
No additional comments posted.
|
|
Denhman Ogilvie
|
Finansinspektionen |
Sweden
|
20120604
04 Jun 2012
|
|
No additional comments posted.
|
|
WFB-Financial Consulting World Ltd/Financial Consulding World Ltd./EU Financial Consulding World Ltd.
|
Financial Market Authority |
Austria
|
20120604
04 Jun 2012
|
|
No additional comments posted.
|
|
Campbell & Stewart Advisory Firm
|
Financial Conduct Authority |
United Kingdom
|
20120601
01 Jun 2012
|
|
No additional comments posted.
|
|
Allianz International Group
|
Financial Conduct Authority |
United Kingdom
|
20120601
01 Jun 2012
|
|
Firm is cloning FSA authorised firm.
|
|
DAVIDSON CONSULTANCY
|
Financial Conduct Authority |
United Kingdom
|
20120531
31 May 2012
|
|
No additional comments posted.
|
|
Seoul Options and Futures Exchange
|
Securities and Futures Commission |
Hong Kong
|
20120531
31 May 2012
|
|
No additional comments posted.
|
|
Robert Gold IFA Associates / RG Associates
|
Financial Conduct Authority |
United Kingdom
|
20120530
30 May 2012
|
|
Firm is cloning the details of a FSA approved individual.
|
|
RG-Client
|
Financial Conduct Authority |
United Kingdom
|
20120530
30 May 2012
|
|
Firm is cloning the details of a FSA approved individual.
|
|
Kubitz, Gold & Chubb
|
Financial Conduct Authority |
United Kingdom
|
20120530
30 May 2012
|
|
No additional comments posted.
|
|
Citilife Financial
|
Financial Conduct Authority |
United Kingdom
|
20120530
30 May 2012
|
|
Firm is cloning details of a FSA EEA Authorised firm.
|
|
Ryan & Mahar LLC
|
Financial Conduct Authority |
United Kingdom
|
20120530
30 May 2012
|
|
No additional comments posted.
|
|
AROUCH INVEST EMPRENDIMENTOS E SERVIÇOS SC LTDA
|
Comissão de Valores Mobiliários |
Brazil
|
20120529
29 May 2012
|
|
Link: Within "Atos Declaratórios – Suspensão de Atividade Irregular".
more
|
|
DIRECIONAL COBRANÇA EMPRESARIAL LTDA
|
Comissão de Valores Mobiliários |
Brazil
|
20120529
29 May 2012
|
|
Link: Within "Atos Declaratórios – Suspensão de Atividade Irregular".
more
|
|
MAC´X Corretora de Mercadorias Ltda
|
Comissão de Valores Mobiliários |
Brazil
|
20120529
29 May 2012
|
|
Link: "Legislação e Regulamentação/ Atos da CVM / Deliberações / Deliberação 679 de 22.05.2012 ".
more
|
|
Alliance Capital Group
|
Securities and Futures Commission |
Hong Kong
|
20120529
29 May 2012
|
|
No additional comments posted.
|
|
Global Plus Inversiones, SA
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120528
28 May 2012
|
|
No additional comments posted.
|
|
Harami Consultores, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120528
28 May 2012
|
|
No additional comments posted.
|
|
Morgan Philips Consulting
|
Finansinspektionen |
Sweden
|
20120524
24 May 2012
|
|
No additional comments posted.
|
|
Citilife Financial Limited
|
Central Bank of Ireland |
Ireland
|
20120524
24 May 2012
|
|
Citilife Financial Limited is not authorised as an investment firm in Ireland and is not authorised to provide investment services in Ireland. The firm purports to be based in Ireland & the United Kingdom.
|
|
Ventura Capital Consulting Limited
|
Central Bank of Ireland |
Ireland
|
20120524
24 May 2012
|
|
Ventura Capital Consulting Limited is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Russell Acquisition Group
|
Central Bank of Ireland |
Ireland
|
20120524
24 May 2012
|
|
Russell Acquisition Group is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
|
|
Giles & Hochman Consulting
|
Central Bank of Ireland |
Ireland
|
20120524
24 May 2012
|
|
Giles & Hochman Consulting is not authorised to provide investment services in Ireland. the firm purports to be based in the USA
|
|
Murray Merger Group
|
Central Bank of Ireland |
Ireland
|
20120524
24 May 2012
|
|
Murray Merger Group is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
|
|
Leroy Philips Consulting/Leroy Phillips Consortium
|
Financial Conduct Authority |
United Kingdom
|
20120523
23 May 2012
|
|
No additional comments posted.
|
|
Imperial Precious Metals Trading Inc.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20120522
22 May 2012
|
|
Advisory Warning
|
|
Shinsei Associates
|
Finansinspektionen |
Sweden
|
20120522
22 May 2012
|
|
No additional comments posted.
|
|
Westton Worldwide M&A Inc
|
Financial Conduct Authority |
United Kingdom
|
20120522
22 May 2012
|
|
No additional comments posted.
|
|
Rowe Allan Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20120521
21 May 2012
|
|
No additional comments posted.
|
|
Yamato Asset Management Co Ltd
|
Financial Conduct Authority |
United Kingdom
|
20120518
18 May 2012
|
|
No additional comments posted.
|
|
Alpha Connect Capital GmbH
|
Financial Conduct Authority |
United Kingdom
|
20120518
18 May 2012
|
|
Clone of FSA EEA authorised firm
|
|
Barclay Trust International
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120517
17 May 2012
|
|
Entity claiming falsely to have address in the Isle of Man
|
|
Pratt International KPO LLC
|
Financial Conduct Authority |
United Kingdom
|
20120517
17 May 2012
|
|
No additional comments posted.
|
|
Adderley Davis & Associates Ltd
|
Financial Conduct Authority |
United Kingdom
|
20120517
17 May 2012
|
|
No additional comments posted.
|
|
Phoenix Investments AG
|
Financial Conduct Authority |
United Kingdom
|
20120516
16 May 2012
|
|
No additional comments posted.
|
|
Access Broker Incorporated
|
Finansinspektionen |
Sweden
|
20120516
16 May 2012
|
|
No additional comments posted.
|
|
Global Partners EA
|
Finansinspektionen |
Sweden
|
20120515
15 May 2012
|
|
No additional comments posted.
|
|
South Atlantic Securities
|
Finansinspektionen |
Sweden
|
20120515
15 May 2012
|
|
No additional comments posted.
|
|
Trapezitai Credit & Savings Ekonomisk förening
|
Finansinspektionen |
Sweden
|
20120515
15 May 2012
|
|
No additional comments posted.
|
|
SESE Skyline
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20120514
14 May 2012
|
|
Advisory Warning
|
|
Crossbridge Partners
|
Finansinspektionen |
Sweden
|
20120514
14 May 2012
|
|
No additional comments posted.
|
|
Robinson and Schroder
|
Financial Conduct Authority |
United Kingdom
|
20120514
14 May 2012
|
|
No additional comments posted.
|
|
Harris & James Company Ltd
|
Securities and Futures Commission |
Hong Kong
|
20120514
14 May 2012
|
|
No additional comments posted.
|
|
Greenwood Capital Advisors
|
Financial Conduct Authority |
United Kingdom
|
20120511
11 May 2012
|
|
No additional comments posted.
|
|
Avalon Consultants Ltd
|
Financial Conduct Authority |
United Kingdom
|
20120510
10 May 2012
|
|
No additional comments posted.
|
|
Plus 500 UK
|
Financial Conduct Authority |
United Kingdom
|
20120510
10 May 2012
|
|
Attempt to clone FSA authorised firm’s name and details.
|
|
Futures Trading Commission
|
Securities and Futures Commission |
Hong Kong
|
20120510
10 May 2012
|
|
No additional comments posted.
|
|
Tiger CTA
|
Securities and Futures Commission |
Hong Kong
|
20120510
10 May 2012
|
|
No additional comments posted.
|
|
ESPA Financial
|
Financial Conduct Authority |
United Kingdom
|
20120509
09 May 2012
|
|
Firm is cloning details of a previously FSA EEA Authorised firm.
|
|
Russell Acquisition Group
|
Finansinspektionen |
Sweden
|
20120509
09 May 2012
|
|
No additional comments posted.
|
|
Peter Daly
|
Financial Conduct Authority |
United Kingdom
|
20120509
09 May 2012
|
|
Individual is cloning details of a FSA approved individual.
|
|
Cantor Index / Cantor UK
|
Financial Conduct Authority |
United Kingdom
|
20120509
09 May 2012
|
|
Firm is cloning details of an FSA authorised firm.
|
|
Servicios Eurobroker 2001, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120508
08 May 2012
|
|
No additional comments posted.
|
|
Mercatrading Inversiones
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120508
08 May 2012
|
|
No additional comments posted.
|
|
AG-FOREXTRADE.COM
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120508
08 May 2012
|
|
No additional comments posted.
|
|
Harris & James Company Ltd.
|
Finansinspektionen |
Sweden
|
20120508
08 May 2012
|
|
No additional comments posted.
|
|
Royal Savings & Loan Ekonomisk förening
|
Finansinspektionen |
Sweden
|
20120508
08 May 2012
|
|
No additional comments posted.
|
|
Stockholm Savings & Loan Ek. för.
|
Finansinspektionen |
Sweden
|
20120508
08 May 2012
|
|
No additional comments posted.
|
|
Direct Brokers Invest / DB Invest /Direct Brokers Investments
|
Financial Conduct Authority |
United Kingdom
|
20120508
08 May 2012
|
|
Firm is cloning details of previously FSA registered firm.
|
|
Kingfisher Equities
|
Financial Conduct Authority |
United Kingdom
|
20120508
08 May 2012
|
|
No additional comments posted.
|
|
Seabank Plant
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120504
04 May 2012
|
|
Entity advertising heavy palnt and agricultural machinery falsely claiming to be situated in the Isle of Man
|
|
Global Venture Financing
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120504
04 May 2012
|
|
Purported company falsely claiming to be incorporated in the Isle of Man
|
|
Atlas Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20120503
03 May 2012
|
|
No additional comments posted.
|
|
Otis KPO, LLC
|
Central Bank of Ireland |
Ireland
|
20120503
03 May 2012
|
|
Otis KPO, LLC is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Hannover & Rothchild Consultancy
|
Central Bank of Ireland |
Ireland
|
20120503
03 May 2012
|
|
Hannover & Rothchild Consultancy is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Russell Merger Group
|
Central Bank of Ireland |
Ireland
|
20120503
03 May 2012
|
|
Russell Merger Group is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
|
|
Eldridge Financial
|
Central Bank of Ireland |
Ireland
|
20120503
03 May 2012
|
|
Eldridge Financial is not authorised to provide investment services in Ireland. The firm purports to be based in Switzerland.
|
|
The Pinnacle Group
|
Central Bank of Ireland |
Ireland
|
20120503
03 May 2012
|
|
The Pinnacle Group is not authorised to provide investment services in Ireland. The firm purports to be based in the UK & Germany.
|
|
Square Mile Financial
|
Financial Conduct Authority |
United Kingdom
|
20120502
02 May 2012
|
|
Firm is cloning details of previously FSA registered firm.
|
|
INVESTMENTCODE Inc.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20120502
02 May 2012
|
|
Advisory Warning
|
|
Campbell Merger Solutions
|
Financial Conduct Authority |
United Kingdom
|
20120502
02 May 2012
|
|
No additional comments posted.
|
|
Bradley King M & A
|
Finansinspektionen |
Sweden
|
20120502
02 May 2012
|
|
No additional comments posted.
|
|
Douglas and Gardner
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120501
01 May 2012
|
|
No additional comments posted.
|
|
Platinum Account Group
|
Ontario Securities Commission |
Ontario
|
20120430
30 Apr 2012
|
|
Company not registered.
|
|
Osler Energy Corporation
|
Ontario Securities Commission |
Ontario
|
20120430
30 Apr 2012
|
|
Company not registered.
|
|
Pagani Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20120430
30 Apr 2012
|
|
No additional comments posted.
|
|
Unicorn Finance Group
|
Financial Market Authority |
Austria
|
20120430
30 Apr 2012
|
|
No additional comments posted.
|
|
Sumitomo Global
|
Financial Market Authority |
Austria
|
20120430
30 Apr 2012
|
|
No additional comments posted.
|
|
Classicus AG
|
Financial Market Authority |
Austria
|
20120430
30 Apr 2012
|
|
No additional comments posted.
|
|
Trilogy Investment Funds plc
|
Financial Conduct Authority |
United Kingdom
|
20120430
30 Apr 2012
|
|
Clone of FSA Authorised (Schedule 5) firm.
|
|
etoile Consulting Group
|
Securities and Futures Commission |
Hong Kong
|
20120430
30 Apr 2012
|
|
No additional comments posted.
|
|
Züricher Vermögensverwaltung AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120427
27 Apr 2012
|
|
No additional comments posted.
|
|
IMG Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20120425
25 Apr 2012
|
|
No additional comments posted.
|
|
Knightsbridge Advisors
|
Finansinspektionen |
Sweden
|
20120425
25 Apr 2012
|
|
No additional comments posted.
|
|
SeBond Capital Corp.
|
British Columbia Securities Commission |
British Columbia
|
20120424
24 Apr 2012
|
|
No additional comments posted.
|
|
MICRON ASSOCIATES
|
Financial Services and Markets Authority |
Belgium
|
20120424
24 Apr 2012
|
|
warning
|
|
Welbeck Associates
|
Financial Conduct Authority |
United Kingdom
|
20120424
24 Apr 2012
|
|
Clone of FSA Registered firm.
|
|
Intax Kikia, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120423
23 Apr 2012
|
|
No additional comments posted.
|
|
BRM International
|
Financial Conduct Authority |
United Kingdom
|
20120420
20 Apr 2012
|
|
No additional comments posted.
|
|
Hexagon Financial
|
Financial Conduct Authority |
United Kingdom
|
20120419
19 Apr 2012
|
|
Clone of FSA Registered firm
|
|
Platform Group Legal Services, PGLS
|
Finansinspektionen |
Sweden
|
20120419
19 Apr 2012
|
|
No additional comments posted.
|
|
Equity Bank Limited
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120419
19 Apr 2012
|
|
Company issuing potentially fraudulent lottery emails claiming to be regulated by Isle of Man authorities
|
|
Pelican Trading Group
|
Finansinspektionen |
Sweden
|
20120418
18 Apr 2012
|
|
No additional comments posted.
|
|
Spencer and Richardson Financial
|
Finansinspektionen |
Sweden
|
20120418
18 Apr 2012
|
|
No additional comments posted.
|
|
Grupo Financiero Orion, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120418
18 Apr 2012
|
|
Update of the alert posted on 20 Feb. 2012 with the new business address of the company.
|
|
Ingestra Capital, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120418
18 Apr 2012
|
|
Update of the alert posted on 20 Feb. 2012 with the new business address of the company.
|
|
Smith and Lockhart Associates
|
Financial Conduct Authority |
United Kingdom
|
20120418
18 Apr 2012
|
|
No additional comments posted.
|
|
Smith and Olsson
|
Securities and Futures Commission |
Hong Kong
|
20120418
18 Apr 2012
|
|
No additional comments posted.
|
|
Allianz Global Investors
|
Financial Conduct Authority |
United Kingdom
|
20120417
17 Apr 2012
|
|
Firm is cloning details of FSA authorised firms.
|
|
Global Investment Partners
|
Financial Conduct Authority |
United Kingdom
|
20120417
17 Apr 2012
|
|
Firm is cloning details of FSA EEA authorised firm.
|
|
Vista Capital Management
|
Securities and Futures Commission |
Hong Kong
|
20120417
17 Apr 2012
|
|
No additional comments posted.
|
|
Williams, Jensen & Jefferies Inc.
|
Securities and Futures Commission |
Hong Kong
|
20120417
17 Apr 2012
|
|
No additional comments posted.
|
|
Titan Invest AG
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20120416
16 Apr 2012
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Guardian Offshore Inc
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20120416
16 Apr 2012
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
OptionRally
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120416
16 Apr 2012
|
|
No additional comments posted.
|
|
BMC Investment Group
|
Finansinspektionen |
Sweden
|
20120412
12 Apr 2012
|
|
No additional comments posted.
|
|
The Kenzo Group
|
Financial Conduct Authority |
United Kingdom
|
20120411
11 Apr 2012
|
|
No additional comments posted.
|
|
Windsor Brokers
|
Financial Conduct Authority |
United Kingdom
|
20120411
11 Apr 2012
|
|
Firm is cloning details of FSA authorised firm.
|
|
William & Brown Management Group
|
Financial Conduct Authority |
United Kingdom
|
20120411
11 Apr 2012
|
|
No additional comments posted.
|
|
Finance Your Dream Limited / Royalty7
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120410
10 Apr 2012
|
|
Bogus entity using Isle of Man address
|
|
Volt Inland Capital
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120410
10 Apr 2012
|
|
Bogus entity using Isle of Man address.
|
|
Carlson Group Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20120410
10 Apr 2012
|
|
No additional comments posted.
|
|
Plus500UK Ltd
|
Croatian Financial Services Supervisory Agency |
Croatia, Republic of
|
20120406
06 Apr 2012
|
|
Agency warns potential investors that this company does not have Agency’s permission for
more
|
|
Admiral Markets AS and Admiral ulaganja d.o.o.
|
Croatian Financial Services Supervisory Agency |
Croatia, Republic of
|
20120406
06 Apr 2012
|
|
Agency warns potential investors that none of these companies have Agency’s permission for their activities in Croatia in accordance with the Capital Market Act (Official Gazette no. 88/08, 146/08, 74/09).
|
|
Alpha Fund Management
|
Financial Conduct Authority |
United Kingdom
|
20120405
05 Apr 2012
|
|
Firm is cloning details of FSA authorised firm.
|
|
Ernest Weiss Securities
|
Financial Conduct Authority |
United Kingdom
|
20120405
05 Apr 2012
|
|
No additional comments posted.
|
|
Blackstone Royalty Corporation
|
Financial Conduct Authority |
United Kingdom
|
20120405
05 Apr 2012
|
|
No additional comments posted.
|
|
Morval Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120405
05 Apr 2012
|
|
No additional comments posted.
|
|
Momentum Securities
|
Financial Conduct Authority |
United Kingdom
|
20120404
04 Apr 2012
|
|
Firm is cloning details of FSA authorised firm.
|
|
Heritage Investment Management
|
Finansinspektionen |
Sweden
|
20120404
04 Apr 2012
|
|
No additional comments posted.
|
|
Franklin Rankin LLC
|
Finansinspektionen |
Sweden
|
20120404
04 Apr 2012
|
|
No additional comments posted.
|
|
www.alphafundmanagement.com / Alpha Fund Management
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120404
04 Apr 2012
|
|
Bogus website using an Isle of Man address. The genuine Isle of Man address used has no business relationship or connection whatsoever with the purported entity, Alpha Fund Management.
|
|
Pratt International KPO, LLC
|
Central Bank of Ireland |
Ireland
|
20120403
03 Apr 2012
|
|
Pratt International KPO, LLC is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Quadrant Mergers & Acquisitions
|
Central Bank of Ireland |
Ireland
|
20120403
03 Apr 2012
|
|
Quadrant Mergers & Acquisitions is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
|
|
Davidson Capital Partners
|
Central Bank of Ireland |
Ireland
|
20120403
03 Apr 2012
|
|
Davidson Capital Partners is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Walton Johnson & Co Corporate Services
|
Central Bank of Ireland |
Ireland
|
20120403
03 Apr 2012
|
|
Walton Johnson & Co Corporate Services is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Ashford Financial Group
|
Financial Conduct Authority |
United Kingdom
|
20120403
03 Apr 2012
|
|
No additional comments posted.
|
|
Johnson McQuade Acquisitions Corp.
|
Finansinspektionen |
Sweden
|
20120402
02 Apr 2012
|
|
No additional comments posted.
|
|
Accredited Global Services Group (AGSG)
|
Financial Conduct Authority |
United Kingdom
|
20120330
30 Mar 2012
|
|
Firm is cloning details of an UK incorporated company.
|
|
Santiago Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20120330
30 Mar 2012
|
|
No additional comments posted.
|
|
First Swiss
|
Financial Conduct Authority |
United Kingdom
|
20120329
29 Mar 2012
|
|
No additional comments posted.
|
|
WorldSpreads Limited
|
Autorité des marchés financiers |
France
|
20120329
29 Mar 2012
|
|
Warning issued by the AMF and the ACP on March 21, 2012
|
|
DG Trading Corp.
|
Czech National Bank |
Czech Republic
|
20120328
28 Mar 2012
|
|
The Czech National Bank wishes to point out that DG Trading Corp., having its registered office at 103 Sham Peng Tong Plaza, Victoria, Mahé, Seychelles, member of Diamond Group holding, which is contacting potential investors in Czech via the website
more
|
|
S-One Financial
|
Securities and Futures Commission |
Hong Kong
|
20120328
28 Mar 2012
|
|
No additional comments posted.
|
|
Ashford Financial Group
|
Securities and Futures Commission |
Hong Kong
|
20120328
28 Mar 2012
|
|
No additional comments posted.
|
|
Alliance Capital Exchange
|
Securities and Futures Commission |
Hong Kong
|
20120328
28 Mar 2012
|
|
No additional comments posted.
|
|
ACE International
|
Securities and Futures Commission |
Hong Kong
|
20120328
28 Mar 2012
|
|
No additional comments posted.
|
|
Splendidplan
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120328
28 Mar 2012
|
|
No additional comments posted.
|
|
Keizai Group
|
Financial Market Authority |
Austria
|
20120327
27 Mar 2012
|
|
No additional comments posted.
|
|
R J Haynes & Associates
|
Financial Market Authority |
Austria
|
20120327
27 Mar 2012
|
|
No additional comments posted.
|
|
Mullen and Cheecks Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20120326
26 Mar 2012
|
|
No additional comments posted.
|
|
Crawford Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20120326
26 Mar 2012
|
|
No additional comments posted.
|
|
NT Global
|
British Columbia Securities Commission |
British Columbia
|
20120323
23 Mar 2012
|
|
No additional comments posted.
|
|
FINRA
|
Financial Industry Regulatory Authority |
United States of America
|
20120322
22 Mar 2012
|
|
No additional comments posted.
|
|
Parker & Masters LLC
|
Finansinspektionen |
Sweden
|
20120322
22 Mar 2012
|
|
No additional comments posted.
|
|
Murray Merger Group
|
Finansinspektionen |
Sweden
|
20120322
22 Mar 2012
|
|
No additional comments posted.
|
|
United Advisory Partners
|
Finansinspektionen |
Sweden
|
20120322
22 Mar 2012
|
|
No additional comments posted.
|
|
Royal Alliance Capital
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120322
22 Mar 2012
|
|
Linked to public warning from IOM FSC on 20 July 2011 re Royal Alliance (UK) Group and website www.royalallianceuk.com
|
|
Frandistrans Group
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120322
22 Mar 2012
|
|
No additional comments posted.
|
|
United Capital Forex Limited
|
Gibraltar Financial Services Commission |
Gibraltar
|
20120322
22 Mar 2012
|
|
The Financial Services Commission would like to alert members of the public with regards to its name and logo being used on a forged letter.
more
|
|
Pearce & Clarke
|
Financial Conduct Authority |
United Kingdom
|
20120321
21 Mar 2012
|
|
No additional comments posted.
|
|
Hadley Richards
|
Financial Market Authority |
Austria
|
20120321
21 Mar 2012
|
|
No additional comments posted.
|
|
Ava FX, Ava Financial Ltd. and Ava Capital Markets Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20120319
19 Mar 2012
|
|
No additional comments posted.
|
|
4XP Investments & Trading and Forex Place Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20120319
19 Mar 2012
|
|
No additional comments posted.
|
|
Wentworth & Wellesley Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20120319
19 Mar 2012
|
|
No additional comments posted.
|
|
Pennington Global
|
British Columbia Securities Commission |
British Columbia
|
20120319
19 Mar 2012
|
|
No additional comments posted.
|
|
Brady & Bell Acquisition Ltd
|
Finansinspektionen |
Sweden
|
20120319
19 Mar 2012
|
|
No additional comments posted.
|
|
Massaki, Lane & Associates
|
Finansinspektionen |
Sweden
|
20120319
19 Mar 2012
|
|
No additional comments posted.
|
|
Swiss Asset Management AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120316
16 Mar 2012
|
|
No additional comments posted.
|
|
Michael John Hammond
|
Financial Conduct Authority |
United Kingdom
|
20120316
16 Mar 2012
|
|
Clone of FSA Approved Individual
|
|
IncoNeon Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120315
15 Mar 2012
|
|
No additional comments posted.
|
|
Thompson Associates
|
Financial Conduct Authority |
United Kingdom
|
20120315
15 Mar 2012
|
|
No additional comments posted.
|
|
Richmond Grant Security & Transfer Inc.
|
Finansinspektionen |
Sweden
|
20120315
15 Mar 2012
|
|
No additional comments posted.
|
|
Lefroy Hudson
|
Finansinspektionen |
Sweden
|
20120315
15 Mar 2012
|
|
No additional comments posted.
|
|
MTC Global Financial Services / MTC Global Group
|
Finansinspektionen |
Sweden
|
20120315
15 Mar 2012
|
|
No additional comments posted.
|
|
AIFA Global Market
|
Financial Conduct Authority |
United Kingdom
|
20120315
15 Mar 2012
|
|
Firm's website logo gives its name as AIFA Golbal Market.
|
|
LJF Asesores, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120315
15 Mar 2012
|
|
No additional comments posted.
|
|
Global Investment Management
|
Czech National Bank |
Czech Republic
|
20120315
15 Mar 2012
|
|
The Czech National Bank wishes to point out that Global Investment Management, having its registered offices at Dammstrasse 19, 6301 Zug, Switzerland and 4th Floor, Scotia Centre, KY1-1104 Georgetown, Cayman Islands, which is contacting potential inv
more
|
|
Sumitomo Global
|
Danish Financial Supervisory Authority |
Denmark
|
20120314
14 Mar 2012
|
|
The Danish Financial Supervisory Authority has been informed that Sumitomo Global unsolicited has offered to carry out financial services. The company's homepage is www.sumitomoglobal.com and the company is using the following address: Sumitomo-Shoji
more
|
|
Nano4x Limited
|
Financial Services Commission |
Mauritius
|
20120314
14 Mar 2012
|
|
No additional comments posted.
|
|
Global World Mergers and Acquisitions
|
Central Bank of Ireland |
Ireland
|
20120314
14 Mar 2012
|
|
Global World Mergers and Acquisitions is not authorised to provide investment services in Ireland. The firm purports to be based in Hong Kong.
|
|
Monarch Wealth Consultants
|
Central Bank of Ireland |
Ireland
|
20120314
14 Mar 2012
|
|
Monarch Wealth Consultants is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
|
|
Northern Capital
|
Financial Conduct Authority |
United Kingdom
|
20120313
13 Mar 2012
|
|
Clone of FSA EEA Authorised firm and UK incorporated firm.
|
|
UST Financial Services Corp.
|
Finansinspektionen |
Sweden
|
20120313
13 Mar 2012
|
|
No additional comments posted.
|
|
Sunline Transfer Agents
|
Financial Conduct Authority |
United Kingdom
|
20120313
13 Mar 2012
|
|
No additional comments posted.
|
|
Alliance Finance Plc
|
Jersey Financial Services Commission |
Jersey
|
20120313
13 Mar 2012
|
|
No additional comments posted.
|
|
Harrison-Stoltz & Associates
|
Financial Conduct Authority |
United Kingdom
|
20120313
13 Mar 2012
|
|
No additional comments posted.
|
|
Wellington Management Portfolios
|
Financial Conduct Authority |
United Kingdom
|
20120313
13 Mar 2012
|
|
Firm is cloning details of a FSA Authorised (Schedule 5) firm.
|
|
Knowlton Group
|
Financial Conduct Authority |
United Kingdom
|
20120312
12 Mar 2012
|
|
No additional comments posted.
|
|
ACOMPANY CAPITAL & INVESTIMENTOS
|
Comissão de Valores Mobiliários |
Brazil
|
20120312
12 Mar 2012
|
|
Link: "Legislação e Regulamentação/ Atos da CVM / Deliberações / Deliberação 678 de 12.01.2012 ".
more
|
|
Stateside Capital, LLC
|
Finansinspektionen |
Sweden
|
20120312
12 Mar 2012
|
|
No additional comments posted.
|
|
Swiss Financial Services
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120309
09 Mar 2012
|
|
No additional comments posted.
|
|
HELM CAPITAL
|
Financial Services and Markets Authority |
Belgium
|
20120308
08 Mar 2012
|
|
warning
|
|
Regent & Langley Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20120307
07 Mar 2012
|
|
No additional comments posted.
|
|
KPR Associates
|
Finansinspektionen |
Sweden
|
20120307
07 Mar 2012
|
|
No additional comments posted.
|
|
The Bradford Group
|
Financial Conduct Authority |
United Kingdom
|
20120307
07 Mar 2012
|
|
No additional comments posted.
|
|
Abel Myers Consulting
|
Financial Conduct Authority |
United Kingdom
|
20120306
06 Mar 2012
|
|
No additional comments posted.
|
|
Elliott & Laurence Consultancy Group
|
Central Bank of Ireland |
Ireland
|
20120306
06 Mar 2012
|
|
Elliott & Laurence Consultancy Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Jones Capital
|
Financial Conduct Authority |
United Kingdom
|
20120306
06 Mar 2012
|
|
No additional comments posted.
|
|
Who is Who
|
Czech National Bank |
Czech Republic
|
20120306
06 Mar 2012
|
|
The Czech National Bank wishes to point out that Who is Who, Verlag für Personenenzyklopädien AG, having its registered office at CH-6304 Zug, Alpenstrasse 16, Switzerland, which is contacting potential clients via unsolicited e-mails in Czech and of
more
|
|
Markets.com and Bforex Ltd
|
Autorité des marchés financiers |
Quebec
|
20120305
05 Mar 2012
|
|
The Autorité des marchés financiers ("AMF") is cautioning investors about Markets.com and Bforex Ltd., two companies that are not authorized to carry on activities in Québec. These two companies have recently solicited Quebeckers to invest in the cur
more
|
|
R J Haynes & Associates
|
Finansinspektionen |
Sweden
|
20120305
05 Mar 2012
|
|
No additional comments posted.
|
|
EVV Group
|
Financial Conduct Authority |
United Kingdom
|
20120301
01 Mar 2012
|
|
No additional comments posted.
|
|
Stand Online Ltd. / Fidelity Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20120301
01 Mar 2012
|
|
Advisory Warning
|
|
Asia Dragon Group
|
Securities and Futures Commission |
Hong Kong
|
20120229
29 Feb 2012
|
|
No additional comments posted.
|
|
Abacus Financial Management
|
Financial Conduct Authority |
United Kingdom
|
20120228
28 Feb 2012
|
|
Clone of FSA Authorised firm (Appointed Representative).
|
|
Swiss Financial Service
|
Financial Conduct Authority |
United Kingdom
|
20120228
28 Feb 2012
|
|
No additional comments posted.
|
|
World Energy Holdings & Research PLC
|
Ontario Securities Commission |
Ontario
|
20120228
28 Feb 2012
|
|
Company not registered
|
|
Bristol Trading Group
|
Ontario Securities Commission |
Ontario
|
20120228
28 Feb 2012
|
|
Company not registered
|
|
Quadrant Mergers & Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20120228
28 Feb 2012
|
|
No additional comments posted.
|
|
MC Trading
|
Financial Conduct Authority |
United Kingdom
|
20120228
28 Feb 2012
|
|
No additional comments posted.
|
|
Eldridge Financial
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120228
28 Feb 2012
|
|
No additional comments posted.
|
|
ZuluTrade, Inc.
|
Czech National Bank |
Czech Republic
|
20120228
28 Feb 2012
|
|
The Czech National Bank wishes to point out that ZuluTrade, Inc., which is offering trading on the Forex international foreign exchange market in Czech via a web presentation www.zulutrade.com, has at present no authorisation to provide investment o
more
|
|
International Mergers Authority
|
Securities and Futures Commission |
Hong Kong
|
20120228
28 Feb 2012
|
|
No additional comments posted.
|
|
International Securities & Assets Recovery Committee
|
Securities and Futures Commission |
Hong Kong
|
20120228
28 Feb 2012
|
|
No additional comments posted.
|
|
Global Acquisitions Regulators
|
Securities and Futures Commission |
Hong Kong
|
20120228
28 Feb 2012
|
|
No additional comments posted.
|
|
ATM CAPITAL - FOCUS POINT CAPITAL
|
Financial Services and Markets Authority |
Belgium
|
20120227
27 Feb 2012
|
|
warning
|
|
Alpha Brokers S.R.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120227
27 Feb 2012
|
|
No additional comments posted.
|
|
Simplon Corporation Trust
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120227
27 Feb 2012
|
|
No additional comments posted.
|
|
Front Core Capital
|
Ontario Securities Commission |
Ontario
|
20120224
24 Feb 2012
|
|
Company not registered
|
|
Turner Financial Inc.
|
Financial Conduct Authority |
United Kingdom
|
20120224
24 Feb 2012
|
|
No additional comments posted.
|
|
International Financial Trading Commission
|
Financial Conduct Authority |
United Kingdom
|
20120224
24 Feb 2012
|
|
Firm is purporting to be a US regulator.
|
|
Greenwyn M&A
|
Financial Conduct Authority |
United Kingdom
|
20120224
24 Feb 2012
|
|
No additional comments posted.
|
|
Master Life Securities
|
Financial Conduct Authority |
United Kingdom
|
20120223
23 Feb 2012
|
|
Cloning EEA authorised firm.
|
|
Opes Capital Inc
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120223
23 Feb 2012
|
|
No additional comments posted.
|
|
LCB (London City Broker) International, Inc.
|
Financial Market Authority |
Austria
|
20120222
22 Feb 2012
|
|
No additional comments posted.
|
|
Grand Financial Management
|
Financial Market Authority |
Austria
|
20120222
22 Feb 2012
|
|
No additional comments posted.
|
|
LUX Investment Group
|
Financial Market Authority |
Austria
|
20120222
22 Feb 2012
|
|
No additional comments posted.
|
|
MetCap Securities
|
Financial Conduct Authority |
United Kingdom
|
20120222
22 Feb 2012
|
|
No additional comments posted.
|
|
Vanquish Capital Associates
|
Securities and Futures Commission |
Hong Kong
|
20120222
22 Feb 2012
|
|
No additional comments posted.
|
|
BAC
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120221
21 Feb 2012
|
|
No additional comments posted.
|
|
ETECH
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120221
21 Feb 2012
|
|
No additional comments posted.
|
|
GOLDWATER GLOBAL MANAGEMENT-BELGIAN FINANCIAL SERVICES AGENCY-BELGIAN COMMODITIES AND FUTURE EXCHANGES
|
Financial Services and Markets Authority |
Belgium
|
20120221
21 Feb 2012
|
|
warning
|
|
The Pinnacle Group
|
Financial Conduct Authority |
United Kingdom
|
20120220
20 Feb 2012
|
|
No additional comments posted.
|
|
Ingestra Capital, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120220
20 Feb 2012
|
|
No additional comments posted.
|
|
Grupo Financiero Orion, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120220
20 Feb 2012
|
|
No additional comments posted.
|
|
Financial Investment Group Spain, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120220
20 Feb 2012
|
|
No additional comments posted.
|
|
Elliott and Laurence Consultancy Group
|
Financial Conduct Authority |
United Kingdom
|
20120217
17 Feb 2012
|
|
No additional comments posted.
|
|
HadleyRichards
|
Danish Financial Supervisory Authority |
Denmark
|
20120217
17 Feb 2012
|
|
The Danish Financial Supervisory Authority has been informed that HadleyRichards unsolicited has offered to carry out financial services. The company uses the following address: Shinjuku Monolith 12F, 2-3-1 Nishi-Shinjuku, Shinjuku-ku, 163-0913, Toky
more
|
|
LAKEPOINTE CAPITAL ADVISERS/BROWELL LTD/IRS CLEARING CONSULTANCY
|
Financial Services and Markets Authority |
Belgium
|
20120217
17 Feb 2012
|
|
warning
|
|
Harvard Alliance
|
Financial Conduct Authority |
United Kingdom
|
20120217
17 Feb 2012
|
|
No additional comments posted.
|
|
UNIVERSAL LIBERTY EXPRESS BANK
|
Financial Services and Markets Authority |
Belgium
|
20120216
16 Feb 2012
|
|
warning
|
|
CELTON HOLDINGS GROUP a.k.a. CELTON GROUP HOLDINGS, LTD.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20120216
16 Feb 2012
|
|
The entity is neither a part of the Mexican financial system, nor supervised by the National Banking and Securities Commission (Comisión Nacional Bancaria y de Valores - CNBV), and is not authorized to take deposits from the public.
|
|
CALEDONIAN INTERNATIONAL CONSULTING, S.A DE C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20120216
16 Feb 2012
|
|
The entity is neither a part of the Mexican financial system, nor supervised by the National Banking and Securities Commission (Comisión Nacional Bancaria y de Valores - CNBV), and is not authorized to take deposits from the public.
|
|
Campbell Alexander Financial Services Group/Campbell Alexander Limited
|
Securities and Futures Commission |
Hong Kong
|
20120215
15 Feb 2012
|
|
No additional comments posted.
|
|
Goldman and Lyle Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20120213
13 Feb 2012
|
|
No additional comments posted.
|
|
Prime Solutions Inc.
|
Financial Conduct Authority |
United Kingdom
|
20120213
13 Feb 2012
|
|
No additional comments posted.
|
|
Nobles Hospital - Isle of Man
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120210
10 Feb 2012
|
|
Bogus job opportunities with extravagant remuneration offered at local Hospital
|
|
Unique Solutions Network Limited
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120210
10 Feb 2012
|
|
False assertions of a fund called Athena VII being managed from the Isle of Man
|
|
www.irishnationwidebank.com
|
Isle of Man Financial Services Authority |
Isle of Man
|
20120210
10 Feb 2012
|
|
Bogus website - www.irishnationwidebank.com
|
|
Bond Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20120210
10 Feb 2012
|
|
No additional comments posted.
|
|
Nova Portfolio Management (Nova UK Limited)
|
Financial Conduct Authority |
United Kingdom
|
20120210
10 Feb 2012
|
|
Firm is cloning details of a FSA EEA Authorised firm.
|
|
Pierce Morgan Capital Management LLC
|
Financial Conduct Authority |
United Kingdom
|
20120210
10 Feb 2012
|
|
No additional comments posted.
|
|
Mount Rock Capital
|
Financial Conduct Authority |
United Kingdom
|
20120210
10 Feb 2012
|
|
Cloning registration number of a FSA Authorised firm.
|
|
Platinum Account Group
|
Danish Financial Supervisory Authority |
Denmark
|
20120210
10 Feb 2012
|
|
The Danish Financial Supervisory Authority has been informed that Platinum Account Group unsolicited has offered to carry out financial services. The company uses the following address: 2 Bloor Street West, Toronto ON Canada, M4W 3E2.
|
|
Isaac Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20120209
09 Feb 2012
|
|
No additional comments posted.
|
|
Credible Solutions Inc.
|
Finansinspektionen |
Sweden
|
20120209
09 Feb 2012
|
|
No additional comments posted.
|
|
Santenee Ltd.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120209
09 Feb 2012
|
|
No additional comments posted.
|
|
Ferrell & Associates
|
Financial Conduct Authority |
United Kingdom
|
20120208
08 Feb 2012
|
|
No additional comments posted.
|
|
Whitestone Financial Planning/WS Financial Planning
|
Financial Conduct Authority |
United Kingdom
|
20120208
08 Feb 2012
|
|
Clone of FSA former Appointed Representative
|
|
Investment House Limited
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120208
08 Feb 2012
|
|
No additional comments posted.
|
|
Frandistrans Group
|
Financial Conduct Authority |
United Kingdom
|
20120208
08 Feb 2012
|
|
Firm claims to be authorised and regulated by the FSA, and to be appointed by a FSA EEA Passported firm - this is false.
|
|
Stern Fisher Edwards Corp.
|
Finansinspektionen |
Sweden
|
20120208
08 Feb 2012
|
|
No additional comments posted.
|
|
Pierce Morgan Capital Management
|
Finansinspektionen |
Sweden
|
20120208
08 Feb 2012
|
|
No additional comments posted.
|
|
Swiss Financial Services Inc.
|
Finansinspektionen |
Sweden
|
20120208
08 Feb 2012
|
|
No additional comments posted.
|
|
Centrade Management Corp.
|
Finansinspektionen |
Sweden
|
20120208
08 Feb 2012
|
|
No additional comments posted.
|
|
Westmill Associates
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120207
07 Feb 2012
|
|
No additional comments posted.
|
|
Jura Financial
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120207
07 Feb 2012
|
|
No additional comments posted.
|
|
FRANZ WATERMANN AG
|
Financial Services and Markets Authority |
Belgium
|
20120207
07 Feb 2012
|
|
warning
|
|
Tate and Carver Consultancy Group
|
Financial Conduct Authority |
United Kingdom
|
20120206
06 Feb 2012
|
|
No additional comments posted.
|
|
Asian Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20120206
06 Feb 2012
|
|
No additional comments posted.
|
|
Hammond Global Solutions LLC
|
Financial Conduct Authority |
United Kingdom
|
20120206
06 Feb 2012
|
|
No additional comments posted.
|
|
Blackstone Royalty Corporation
|
Finansinspektionen |
Sweden
|
20120206
06 Feb 2012
|
|
No additional comments posted.
|
|
DI-LA & THALIA ASSURANCES/NICOLAS DARAMELAS
|
Financial Services and Markets Authority |
Belgium
|
20120203
03 Feb 2012
|
|
warning
|
|
Wellington Management
|
Financial Conduct Authority |
United Kingdom
|
20120202
02 Feb 2012
|
|
Firm has cloned the details of a FSA authorised firm.
|
|
Pacific Alliance Mergers & Acquisitions Limited
|
Financial Conduct Authority |
United Kingdom
|
20120202
02 Feb 2012
|
|
No additional comments posted.
|
|
WERNER GROUP INTERNATIONAL
|
Financial Services and Markets Authority |
Belgium
|
20120131
31 Jan 2012
|
|
warning
|
|
Trustcorp Services Limited
|
Jersey Financial Services Commission |
Jersey
|
20120131
31 Jan 2012
|
|
No additional comments posted.
|
|
MMM-2011
|
Bank of Lithuania |
Lithuania
|
20120131
31 Jan 2012
|
|
No additional comments posted.
|
|
IBG & Associates
|
Financial Conduct Authority |
United Kingdom
|
20120130
30 Jan 2012
|
|
No additional comments posted.
|
|
Bellview Financial
|
Financial Conduct Authority |
United Kingdom
|
20120130
30 Jan 2012
|
|
No additional comments posted.
|
|
Wellington Philips Asset Management Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120130
30 Jan 2012
|
|
No additional comments posted.
|
|
FINRA
|
Financial Industry Regulatory Authority |
United States of America
|
20120127
27 Jan 2012
|
|
No additional comments posted.
|
|
Salamon & Tate Consulting Group
|
Central Bank of Ireland |
Ireland
|
20120127
27 Jan 2012
|
|
Salamon & Tate Consulting Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Winchester Consultancy Group
|
Central Bank of Ireland |
Ireland
|
20120127
27 Jan 2012
|
|
Winchester Consultancy Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Mathews Merger Management
|
Financial Conduct Authority |
United Kingdom
|
20120126
26 Jan 2012
|
|
No additional comments posted.
|
|
Global Equities Capital Markets
|
Financial Conduct Authority |
United Kingdom
|
20120126
26 Jan 2012
|
|
Clone of FSA EEA authorised /authorised firms
|
|
Lima Resource Partners
|
Financial Conduct Authority |
United Kingdom
|
20120126
26 Jan 2012
|
|
No additional comments posted.
|
|
Reliance Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20120126
26 Jan 2012
|
|
No additional comments posted.
|
|
West Mill Associates
|
Financial Conduct Authority |
United Kingdom
|
20120126
26 Jan 2012
|
|
No additional comments posted.
|
|
Alvaro Gombau Asesores Empresariales, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120125
25 Jan 2012
|
|
No additional comments posted.
|
|
Mizuho Holdings
|
Financial Market Authority |
Austria
|
20120125
25 Jan 2012
|
|
No additional comments posted.
|
|
Kayabas
|
Financial Market Authority |
Austria
|
20120125
25 Jan 2012
|
|
No additional comments posted.
|
|
Manhattan Corporate Transfers
|
Financial Conduct Authority |
United Kingdom
|
20120124
24 Jan 2012
|
|
Company may be acting as a “recovery room”.
|
|
New Dynamic Group
|
Financial Conduct Authority |
United Kingdom
|
20120124
24 Jan 2012
|
|
Company may be acting as a “recovery room”.
|
|
Cantata Equity Management, LLC
|
Financial Conduct Authority |
United Kingdom
|
20120123
23 Jan 2012
|
|
No additional comments posted.
|
|
Synergy Capital, LLC
|
Financial Conduct Authority |
United Kingdom
|
20120123
23 Jan 2012
|
|
No additional comments posted.
|
|
Abel Myers Consulting
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20120123
23 Jan 2012
|
|
No additional comments posted.
|
|
Edward Jones Group
|
Financial Conduct Authority |
United Kingdom
|
20120120
20 Jan 2012
|
|
No additional comments posted.
|
|
Lux Investment Group
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20120120
20 Jan 2012
|
|
No additional comments posted.
|
|
Sustainable Investments
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120120
20 Jan 2012
|
|
No additional comments posted.
|
|
Bingham Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20120120
20 Jan 2012
|
|
No additional comments posted.
|
|
Metro Wide Investments
|
Securities and Futures Commission |
Hong Kong
|
20120120
20 Jan 2012
|
|
No additional comments posted.
|
|
Swiss & Global Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20120119
19 Jan 2012
|
|
Firm is cloning details of a FSA EEA Authorised firm.
|
|
Kent Capital Ltd
|
Financial Conduct Authority |
United Kingdom
|
20120119
19 Jan 2012
|
|
No additional comments posted.
|
|
Franz Watermann AG
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20120119
19 Jan 2012
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Opes Capital Inc.
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20120119
19 Jan 2012
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Carbon Wealth Advisors
|
Finansinspektionen |
Sweden
|
20120118
18 Jan 2012
|
|
No additional comments posted.
|
|
B Cooke Ltd
|
Finansinspektionen |
Sweden
|
20120118
18 Jan 2012
|
|
No additional comments posted.
|
|
FIMB International Remittance Bank
|
Finansinspektionen |
Sweden
|
20120118
18 Jan 2012
|
|
No additional comments posted.
|
|
Eldridge Financial
|
Finansinspektionen |
Sweden
|
20120118
18 Jan 2012
|
|
No additional comments posted.
|
|
Global Analytical Solutions
|
Financial Conduct Authority |
United Kingdom
|
20120117
17 Jan 2012
|
|
No additional comments posted.
|
|
Weinberg Equity Management
|
Financial Conduct Authority |
United Kingdom
|
20120117
17 Jan 2012
|
|
No additional comments posted.
|
|
East Fund Management
|
Financial Conduct Authority |
United Kingdom
|
20120117
17 Jan 2012
|
|
Firm is cloning the registration number of a formerly FSA EEA Authorised firm.
|
|
Equinox Ventures Corporation
|
Finansinspektionen |
Sweden
|
20120116
16 Jan 2012
|
|
No additional comments posted.
|
|
ALAFX Markets Limited
|
Cyprus Securities and Exchange Commission |
Cyprus
|
20120113
13 Jan 2012
|
|
It has never been authorized by the Commission.
more
|
|
GIGA Invest
|
Financial Conduct Authority |
United Kingdom
|
20120112
12 Jan 2012
|
|
Firm is cloning details of a previously FSA EEA Authorised firm.
|
|
Salamon and Tate Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20120109
09 Jan 2012
|
|
No additional comments posted.
|
|
Rendimientos & Plusvalias
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120109
09 Jan 2012
|
|
No additional comments posted.
|
|
Ibolution
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120109
09 Jan 2012
|
|
No additional comments posted.
|
|
Atlantic International Partnership
|
Comisión Nacional del Mercado de Valores |
Spain
|
20120109
09 Jan 2012
|
|
No additional comments posted.
|
|
Timberlake Energy Solutions Inc.
|
Ontario Securities Commission |
Ontario
|
20120106
06 Jan 2012
|
|
Company not registered
|
|
The Clayton Group
|
Financial Conduct Authority |
United Kingdom
|
20120105
05 Jan 2012
|
|
No additional comments posted.
|
|
Connors Thompson Reed
|
Financial Conduct Authority |
United Kingdom
|
20120104
04 Jan 2012
|
|
Clone of previously FSA Registered firm
|
|
Winchester Consultancy Group
|
Financial Conduct Authority |
United Kingdom
|
20120104
04 Jan 2012
|
|
No additional comments posted.
|
|
Capitol Acquisition Management Inc.
|
Financial Conduct Authority |
United Kingdom
|
20120103
03 Jan 2012
|
|
No additional comments posted.
|
|
Opes Capital Inc
|
Financial Conduct Authority |
United Kingdom
|
20120103
03 Jan 2012
|
|
No additional comments posted.
|
|
Westin International Inc
|
Financial Conduct Authority |
United Kingdom
|
20111230
30 Dec 2011
|
|
No additional comments posted.
|
|
Burlington Corporate Management
|
Financial Conduct Authority |
United Kingdom
|
20111229
29 Dec 2011
|
|
No additional comments posted.
|
|
Eastman Pierce Partners Mergers and Acquisitions (www.eastmanpierce.com)
|
Financial Conduct Authority |
United Kingdom
|
20111228
28 Dec 2011
|
|
No additional comments posted.
|
|
Citywide Associates
|
Financial Conduct Authority |
United Kingdom
|
20111228
28 Dec 2011
|
|
No additional comments posted.
|
|
Tiger Consultants (may also use name Tiger Investing)
|
Financial Conduct Authority |
United Kingdom
|
20111228
28 Dec 2011
|
|
Cloning previous name, address and registration number of FSA registered firm.
|
|
Forest4YOU Capital S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20111223
23 Dec 2011
|
|
No additional comments posted.
|
|
Tate and Carver Consultancy Group
|
Central Bank of Ireland |
Ireland
|
20111223
23 Dec 2011
|
|
Tate and Carver Consultancy Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Bingham Consulting Group
|
Central Bank of Ireland |
Ireland
|
20111223
23 Dec 2011
|
|
Bingham Consulting Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
|
|
Sanwa Holdings
|
Financial Market Authority |
Austria
|
20111222
22 Dec 2011
|
|
No additional comments posted.
|
|
Titan Invest PLC
|
Financial Market Authority |
Austria
|
20111222
22 Dec 2011
|
|
No additional comments posted.
|
|
Marsh & Reede Capital
|
Financial Market Authority |
Austria
|
20111222
22 Dec 2011
|
|
No additional comments posted.
|
|
Farrel, Thornton, Lloyd & Brown
|
Financial Market Authority |
Austria
|
20111222
22 Dec 2011
|
|
No additional comments posted.
|
|
Nippon Financial Partners
|
Financial Conduct Authority |
United Kingdom
|
20111222
22 Dec 2011
|
|
No additional comments posted.
|
|
First Allied Capital
|
Financial Conduct Authority |
United Kingdom
|
20111222
22 Dec 2011
|
|
No additional comments posted.
|
|
New York Finance Company
|
Financial Conduct Authority |
United Kingdom
|
20111221
21 Dec 2011
|
|
No additional comments posted.
|
|
Acquisitions 21 Pte. Ltd.
|
Financial Conduct Authority |
United Kingdom
|
20111221
21 Dec 2011
|
|
No additional comments posted.
|
|
Platinum House Financial
|
Financial Conduct Authority |
United Kingdom
|
20111221
21 Dec 2011
|
|
Firm is cloning details of a previously FSA registered firm.
|
|
Global Invest Switzerland AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111221
21 Dec 2011
|
|
No additional comments posted.
|
|
Brassel Capital Asset Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20111221
21 Dec 2011
|
|
No additional comments posted.
|
|
Touch Financial
|
Financial Conduct Authority |
United Kingdom
|
20111220
20 Dec 2011
|
|
Clone of UK incorporated firm
|
|
Cosmo Swiss Management S.A.
|
Securities and Futures Commission |
Hong Kong
|
20111220
20 Dec 2011
|
|
No additional comments posted.
|
|
Valert Inc.
|
Ontario Securities Commission |
Ontario
|
20111219
19 Dec 2011
|
|
Company not registered
|
|
Space Energy AG
|
Finansinspektionen |
Sweden
|
20111216
16 Dec 2011
|
|
No additional comments posted.
|
|
Chesterfield Lyons
|
Finansinspektionen |
Sweden
|
20111216
16 Dec 2011
|
|
No additional comments posted.
|
|
Global Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20111216
16 Dec 2011
|
|
Clone of FSA Authorised firm
|
|
Carbon Advisory Council
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111216
16 Dec 2011
|
|
No additional comments posted.
|
|
Carter Litwin Inc.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111216
16 Dec 2011
|
|
No additional comments posted.
|
|
SWISS FIDELITY INVESTMENT AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111215
15 Dec 2011
|
|
No additional comments posted.
|
|
Alpha Brokers S.R.
|
Financial Conduct Authority |
United Kingdom
|
20111214
14 Dec 2011
|
|
Clone of previously FSA EEA Authorised firm
|
|
Bloomfield Trust Management
|
Financial Conduct Authority |
United Kingdom
|
20111214
14 Dec 2011
|
|
No additional comments posted.
|
|
Fortune Investment Group
|
British Columbia Securities Commission |
British Columbia
|
20111213
13 Dec 2011
|
|
No additional comments posted.
|
|
Global Network Fiduciary LLC
|
Financial Conduct Authority |
United Kingdom
|
20111213
13 Dec 2011
|
|
No additional comments posted.
|
|
PROVIDEO FINANCIAL
|
Financial Services and Markets Authority |
Belgium
|
20111213
13 Dec 2011
|
|
No additional comments posted.
|
|
Boston Private Equity
|
Finansinspektionen |
Sweden
|
20111213
13 Dec 2011
|
|
No additional comments posted.
|
|
Howard Gary & Company
|
Finansinspektionen |
Sweden
|
20111212
12 Dec 2011
|
|
No additional comments posted.
|
|
Asian Capital Group
|
Finansinspektionen |
Sweden
|
20111212
12 Dec 2011
|
|
No additional comments posted.
|
|
Dailey Securities, Inc.
|
Finansinspektionen |
Sweden
|
20111212
12 Dec 2011
|
|
No additional comments posted.
|
|
Ellis Stanley Alden, ESA Global
|
Finansinspektionen |
Sweden
|
20111212
12 Dec 2011
|
|
No additional comments posted.
|
|
Ellis Alden
|
Finansinspektionen |
Sweden
|
20111212
12 Dec 2011
|
|
No additional comments posted.
|
|
Macro Trade
|
British Columbia Securities Commission |
British Columbia
|
20111210
10 Dec 2011
|
|
No additional comments posted.
|
|
LONGWOOD TRADING
|
Financial Services and Markets Authority |
Belgium
|
20111209
09 Dec 2011
|
|
warning
|
|
MKL Business Services
|
Financial Conduct Authority |
United Kingdom
|
20111208
08 Dec 2011
|
|
No additional comments posted.
|
|
Macellum Capital Management
|
Jersey Financial Services Commission |
Jersey
|
20111208
08 Dec 2011
|
|
No additional comments posted.
|
|
Ashford Financial Group, AFG
|
Finansinspektionen |
Sweden
|
20111208
08 Dec 2011
|
|
No additional comments posted.
|
|
Centaur Global Advisors
|
Finansinspektionen |
Sweden
|
20111208
08 Dec 2011
|
|
No additional comments posted.
|
|
Learn About Shares Limited
|
Central Bank of Ireland |
Ireland
|
20111208
08 Dec 2011
|
|
Learn About Shares Limited is not authorised to provide investment services in Ireland. The firm is based in Ireland.
|
|
Premier Partners
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20111208
08 Dec 2011
|
|
No additional comments posted.
|
|
First Private Clients Ltd
|
Financial Conduct Authority |
United Kingdom
|
20111208
08 Dec 2011
|
|
Firm is cloning the details of a formerly FSA registered firm.
|
|
Norton Scientific Inc.
|
Ontario Securities Commission |
Ontario
|
20111207
07 Dec 2011
|
|
Company not registered
|
|
BOZ Bank of Zurich
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111207
07 Dec 2011
|
|
No additional comments posted.
|
|
YouTradeFX
|
Comissão de Valores Mobiliários |
Brazil
|
20111206
06 Dec 2011
|
|
Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
www.efexbrasil.net
|
Comissão de Valores Mobiliários |
Brazil
|
20111206
06 Dec 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
ADONAI FX
|
Comissão de Valores Mobiliários |
Brazil
|
20111206
06 Dec 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
Plus500UK
|
Comissão de Valores Mobiliários |
Brazil
|
20111206
06 Dec 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
Blackstone Asset Management
|
Finansinspektionen |
Sweden
|
20111206
06 Dec 2011
|
|
No additional comments posted.
|
|
Friedman Global och Shanghai Derivatives Exchange, SHDEX
|
Finansinspektionen |
Sweden
|
20111206
06 Dec 2011
|
|
No additional comments posted.
|
|
United Finance Association
|
Securities and Futures Commission |
Hong Kong
|
20111206
06 Dec 2011
|
|
No additional comments posted.
|
|
First Standard Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111206
06 Dec 2011
|
|
No additional comments posted.
|
|
Platinum Funds Management
|
Financial Conduct Authority |
United Kingdom
|
20111205
05 Dec 2011
|
|
No additional comments posted.
|
|
Kennedy Anderson Mergers & Acquisitions
|
Finansinspektionen |
Sweden
|
20111202
02 Dec 2011
|
|
No additional comments posted.
|
|
Waight and Caffie Company Ltd
|
Financial Conduct Authority |
United Kingdom
|
20111201
01 Dec 2011
|
|
No additional comments posted.
|
|
Nova Portfolio Management
|
Jersey Financial Services Commission |
Jersey
|
20111201
01 Dec 2011
|
|
No additional comments posted.
|
|
Nova UK Ltd
|
Jersey Financial Services Commission |
Jersey
|
20111201
01 Dec 2011
|
|
No additional comments posted.
|
|
Winterthur Fund Management
|
Financial Conduct Authority |
United Kingdom
|
20111130
30 Nov 2011
|
|
(Clone of a cancelled firm and FSA Authorised firms)
|
|
Sarasin Funds Management (Guernsey) Limited
|
Financial Conduct Authority |
United Kingdom
|
20111130
30 Nov 2011
|
|
Clone of FSA Authorised firm - Using identical name and address
|
|
Rothridge Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20111130
30 Nov 2011
|
|
No additional comments posted.
|
|
Grenfell and Blackrock Associates
|
Financial Conduct Authority |
United Kingdom
|
20111130
30 Nov 2011
|
|
No additional comments posted.
|
|
Miller Winston - Worldwide Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20111129
29 Nov 2011
|
|
No additional comments posted.
|
|
Durdan Heyer Ltd
|
Financial Conduct Authority |
United Kingdom
|
20111129
29 Nov 2011
|
|
No additional comments posted.
|
|
Tribune Assets Management Ltd.
|
Financial Conduct Authority |
United Kingdom
|
20111129
29 Nov 2011
|
|
No additional comments posted.
|
|
The Swiss Intrex Commodity Futures Exchange
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111128
28 Nov 2011
|
|
No additional comments posted.
|
|
Pacific Alliance Mergers and Acquisitions Ltd
|
Securities and Futures Commission |
Hong Kong
|
20111128
28 Nov 2011
|
|
No additional comments posted.
|
|
Beaumont, Greene & Partners
|
Financial Conduct Authority |
United Kingdom
|
20111125
25 Nov 2011
|
|
No additional comments posted.
|
|
G R A F-Kantor OHG
|
Finansinspektionen |
Sweden
|
20111124
24 Nov 2011
|
|
No additional comments posted.
|
|
AMK Trust Ltd
|
Financial Conduct Authority |
United Kingdom
|
20111124
24 Nov 2011
|
|
No additional comments posted.
|
|
Eclipse Advisory B.V.
|
Financial Market Authority |
Austria
|
20111124
24 Nov 2011
|
|
No additional comments posted.
|
|
Eastridge Associates
|
Securities and Futures Commission |
Hong Kong
|
20111124
24 Nov 2011
|
|
No additional comments posted.
|
|
H.Y. Markets
|
Financial Conduct Authority |
United Kingdom
|
20111123
23 Nov 2011
|
|
Firm is using the name and address belonging to an
more
|
|
Pertinax 2010, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20111123
23 Nov 2011
|
|
No additional comments posted.
|
|
Opus-Alliance
|
Securities and Futures Commission |
Hong Kong
|
20111123
23 Nov 2011
|
|
No additional comments posted.
|
|
Prospero Capital AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111122
22 Nov 2011
|
|
No additional comments posted.
|
|
GeFin Geneva Financial Authority
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111122
22 Nov 2011
|
|
No additional comments posted.
|
|
M.S. Global
|
Financial Conduct Authority |
United Kingdom
|
20111122
22 Nov 2011
|
|
No additional comments posted.
|
|
Sanwa Holdings
|
Finansinspektionen |
Sweden
|
20111121
21 Nov 2011
|
|
No additional comments posted.
|
|
Goldman Phillips
|
Financial Conduct Authority |
United Kingdom
|
20111118
18 Nov 2011
|
|
No additional comments posted.
|
|
Sino Financial
|
Financial Conduct Authority |
United Kingdom
|
20111118
18 Nov 2011
|
|
No additional comments posted.
|
|
Securcorp Limited
|
Autorité des marchés financiers |
France
|
20111117
17 Nov 2011
|
|
Warning issued by the AMF and the IEOM on October 28, 2011
|
|
Beacon Pointe Securities
|
Financial Conduct Authority |
United Kingdom
|
20111117
17 Nov 2011
|
|
No additional comments posted.
|
|
UFX Bank
|
Financial Services and Markets Authority |
Belgium
|
20111117
17 Nov 2011
|
|
warning
|
|
FutureGen Capital
|
Ontario Securities Commission |
Ontario
|
20111116
16 Nov 2011
|
|
Company not registered
|
|
Isaac Paige Associates
|
Financial Conduct Authority |
United Kingdom
|
20111116
16 Nov 2011
|
|
No additional comments posted.
|
|
First Standard Management
|
Financial Conduct Authority |
United Kingdom
|
20111115
15 Nov 2011
|
|
No additional comments posted.
|
|
CulverHouse Capital
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20111115
15 Nov 2011
|
|
No additional comments posted.
|
|
Management International Dublin Ltd
|
Financial Conduct Authority |
United Kingdom
|
20111114
14 Nov 2011
|
|
No additional comments posted.
|
|
BERG COMMODITIES
|
Financial Services and Markets Authority |
Belgium
|
20111114
14 Nov 2011
|
|
warning
|
|
Mandolin Resources
|
Financial Conduct Authority |
United Kingdom
|
20111111
11 Nov 2011
|
|
No additional comments posted.
|
|
Nippon Financial Partners
|
Finansinspektionen |
Sweden
|
20111111
11 Nov 2011
|
|
No additional comments posted.
|
|
Norwich Securities Corporation, NSC
|
Finansinspektionen |
Sweden
|
20111111
11 Nov 2011
|
|
No additional comments posted.
|
|
Smart Trade FX Inc.
|
Ontario Securities Commission |
Ontario
|
20111110
10 Nov 2011
|
|
Company not registered
|
|
Taxhavenco
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111110
10 Nov 2011
|
|
No additional comments posted.
|
|
Online Investment Bank
|
Gibraltar Financial Services Commission |
Gibraltar
|
20111110
10 Nov 2011
|
|
The Financial Services Commission has today issued a warning to the public regarding Online Investment Bank.
more
|
|
Guardian Securities
|
Financial Conduct Authority |
United Kingdom
|
20111110
10 Nov 2011
|
|
Firm is using identical name to an FSA EEA Authorised firm.
|
|
BroCo Investments Inc.
|
Financial Services Commission |
Mauritius
|
20111110
10 Nov 2011
|
|
No additional comments posted.
|
|
First Standard Management Limited
|
Central Bank of Ireland |
Ireland
|
20111110
10 Nov 2011
|
|
First Standard Management Limited is not authorised to provide investment services in Ireland. The firm purports to be based in Ireland, Switzerland & Hong Kong
|
|
Chartered Investments
|
Financial Conduct Authority |
United Kingdom
|
20111110
10 Nov 2011
|
|
No additional comments posted.
|
|
Global Direct Asset Management
|
Finansinspektionen |
Sweden
|
20111110
10 Nov 2011
|
|
No additional comments posted.
|
|
Parkers Consulting
|
Financial Market Authority |
Austria
|
20111109
09 Nov 2011
|
|
No additional comments posted.
|
|
Chenglong International
|
Financial Market Authority |
Austria
|
20111109
09 Nov 2011
|
|
No additional comments posted.
|
|
Strauss Capital Consultants
|
Financial Conduct Authority |
United Kingdom
|
20111108
08 Nov 2011
|
|
No additional comments posted.
|
|
ATX Group / Houston Futures Exchange, HOUFEX
|
Finansinspektionen |
Sweden
|
20111108
08 Nov 2011
|
|
No additional comments posted.
|
|
Mathews Merger Management
|
Finansinspektionen |
Sweden
|
20111108
08 Nov 2011
|
|
No additional comments posted.
|
|
Nabsecurities Inc.
|
Finansinspektionen |
Sweden
|
20111107
07 Nov 2011
|
|
No additional comments posted.
|
|
DMR Consulting, LLC
|
Finansinspektionen |
Sweden
|
20111107
07 Nov 2011
|
|
No additional comments posted.
|
|
Drexel-Bearns Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20111107
07 Nov 2011
|
|
No additional comments posted.
|
|
Saddle River Futures
|
Securities and Futures Commission |
Hong Kong
|
20111107
07 Nov 2011
|
|
No additional comments posted.
|
|
In-Capital HK
|
Securities and Futures Commission |
Hong Kong
|
20111107
07 Nov 2011
|
|
No additional comments posted.
|
|
Hong Kong Options and Futures Exchange
|
Securities and Futures Commission |
Hong Kong
|
20111107
07 Nov 2011
|
|
No additional comments posted.
|
|
HKI Consultants
|
Securities and Futures Commission |
Hong Kong
|
20111107
07 Nov 2011
|
|
No additional comments posted.
|
|
Worldex Holdings International
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20111104
04 Nov 2011
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Eastridge Associates
|
Jersey Financial Services Commission |
Jersey
|
20111103
03 Nov 2011
|
|
No additional comments posted.
|
|
Richardson & Foster Partners
|
Financial Conduct Authority |
United Kingdom
|
20111102
02 Nov 2011
|
|
No additional comments posted.
|
|
FHM Associates/Fuller-Hathaway Moy Associates
|
Financial Conduct Authority |
United Kingdom
|
20111101
01 Nov 2011
|
|
No additional comments posted.
|
|
Harrison Research AG
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111101
01 Nov 2011
|
|
No additional comments posted.
|
|
Longwood Trading / SGCEX
|
Finansinspektionen |
Sweden
|
20111101
01 Nov 2011
|
|
No additional comments posted.
|
|
Synergy Europe
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111101
01 Nov 2011
|
|
No additional comments posted.
|
|
CPI International
|
Financial Conduct Authority |
United Kingdom
|
20111028
28 Oct 2011
|
|
No additional comments posted.
|
|
Cadden International Ltd.
|
Financial Conduct Authority |
United Kingdom
|
20111028
28 Oct 2011
|
|
No additional comments posted.
|
|
SONG CENTEA FINANCIERINGEN
|
Financial Services and Markets Authority |
Belgium
|
20111028
28 Oct 2011
|
|
warning
|
|
Warren Fisher & Associates
|
Financial Conduct Authority |
United Kingdom
|
20111027
27 Oct 2011
|
|
No additional comments posted.
|
|
POWERINVEST NEGÓCIOS & PARTICIPAÇÕES LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20111027
27 Oct 2011
|
|
Not authorized by the CVM of Brazil to perform portfolio management.
|
|
Federal Capital Inc.
|
Securities and Futures Commission |
Hong Kong
|
20111026
26 Oct 2011
|
|
No additional comments posted.
|
|
Diversified Assets Authority
|
Securities and Futures Commission |
Hong Kong
|
20111026
26 Oct 2011
|
|
No additional comments posted.
|
|
Alderton Consultants
|
Financial Conduct Authority |
United Kingdom
|
20111025
25 Oct 2011
|
|
No additional comments posted.
|
|
Westgate & Greene Associates
|
Financial Conduct Authority |
United Kingdom
|
20111025
25 Oct 2011
|
|
No additional comments posted.
|
|
Greenfield and Associates
|
Financial Conduct Authority |
United Kingdom
|
20111024
24 Oct 2011
|
|
No additional comments posted.
|
|
Phoenix Cooper Financial
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111024
24 Oct 2011
|
|
No additional comments posted.
|
|
Provideo Financial
|
Securities and Futures Commission |
Hong Kong
|
20111024
24 Oct 2011
|
|
No additional comments posted.
|
|
JLS Capital Group
|
Jersey Financial Services Commission |
Jersey
|
20111024
24 Oct 2011
|
|
No additional comments posted.
|
|
ATP Financial
|
Jersey Financial Services Commission |
Jersey
|
20111024
24 Oct 2011
|
|
No additional comments posted.
|
|
MB TRANSFERT Ltd/MB TRANSFER
|
Financial Services and Markets Authority |
Belgium
|
20111024
24 Oct 2011
|
|
warning
|
|
Segregated Payments Limited ('Segpay') amended 31/10/2011
|
Gibraltar Financial Services Commission |
Gibraltar
|
20111024
24 Oct 2011
|
|
The Financial Services Commission has today amended its warning to the public regarding the above-named entities and associated websites.
more
|
|
Greenway Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20111021
21 Oct 2011
|
|
No additional comments posted.
|
|
Swiss Private Bank
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111021
21 Oct 2011
|
|
No additional comments posted.
|
|
EFD Financial Group Company Limited
|
Ontario Securities Commission |
Ontario
|
20111021
21 Oct 2011
|
|
Company not registered
|
|
Provideo Financial
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20111021
21 Oct 2011
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Thornton Graves Associates
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20111021
21 Oct 2011
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Castle Rock Corporate Finance
|
Financial Conduct Authority |
United Kingdom
|
20111021
21 Oct 2011
|
|
No additional comments posted.
|
|
Loyal Bank Limited
|
Czech National Bank |
Czech Republic
|
20111021
21 Oct 2011
|
|
The Czech National Bank wishes to give notice that Loyal Bank Limited, which offers banking and financial services in the Czech language via an internet presentation, has currently no licence to provide banking, investment or other services on the Cz
more
|
|
Global Finance Authority
|
Securities and Futures Commission |
Hong Kong
|
20111021
21 Oct 2011
|
|
No additional comments posted.
|
|
Carlisle-Conroy Ventures
|
Finansinspektionen |
Sweden
|
20111020
20 Oct 2011
|
|
No additional comments posted.
|
|
Thomson McKinnon Capital Corp.
|
Finansinspektionen |
Sweden
|
20111020
20 Oct 2011
|
|
No additional comments posted.
|
|
NKP Financial
|
Financial Conduct Authority |
United Kingdom
|
20111019
19 Oct 2011
|
|
Firm is using the identical name and address of an FSA authorised firm, and quoting the FSA Firm Registration Number belonging to
more
|
|
Gold Asset Managers
|
Financial Conduct Authority |
United Kingdom
|
20111019
19 Oct 2011
|
|
No additional comments posted.
|
|
Wilsone & Duffus (UK) Ltd
|
Financial Conduct Authority |
United Kingdom
|
20111018
18 Oct 2011
|
|
Firm is using an identical name and quoting the FSA Firm Registration Number of an FSA Authorised firm.
|
|
Park Avenue Mergers & Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20111018
18 Oct 2011
|
|
No additional comments posted.
|
|
Chenglong International
|
Finansinspektionen |
Sweden
|
20111018
18 Oct 2011
|
|
No additional comments posted.
|
|
Bower Best Consultants and Equities Management Bureau
|
Financial Services and Markets Authority |
Belgium
|
20111018
18 Oct 2011
|
|
No additional comments posted.
|
|
ALTERNATIVE INVESTMENTS ADVISORS
|
Financial Services and Markets Authority |
Belgium
|
20111018
18 Oct 2011
|
|
warning
|
|
SoHo Services Limited
|
Jersey Financial Services Commission |
Jersey
|
20111018
18 Oct 2011
|
|
No additional comments posted.
|
|
Taipei Commodity Exchange
|
Financial Supervisory Commission |
Chinese Taipei
|
20111018
18 Oct 2011
|
|
“Taipei Commodity Exchange” claims to trade crude oil derivatives. Our records show that “Taipei Commodity Exchange” has neither a license in Chinese Taipei to conduct exchange services nor an authorization to offer investment services. Besides, “Tai
more
|
|
Westbrook Acquisition Authority
|
Financial Conduct Authority |
United Kingdom
|
20111017
17 Oct 2011
|
|
No additional comments posted.
|
|
ATM Capital
|
Jersey Financial Services Commission |
Jersey
|
20111017
17 Oct 2011
|
|
No additional comments posted.
|
|
Forex trading activities - update
|
Autorité des marchés financiers |
France
|
20111012
12 Oct 2011
|
|
Update of the warning issued by the AMF and the ACP on 7 July 2011.
|
|
China Mineral Company Limited
|
Australian Securities and Investments Commission |
Australia
|
20111012
12 Oct 2011
|
|
No additional comments posted.
|
|
Edenstone Consulting
|
Financial Conduct Authority |
United Kingdom
|
20111011
11 Oct 2011
|
|
No additional comments posted.
|
|
Fund Advisers Europe
|
Financial Conduct Authority |
United Kingdom
|
20111011
11 Oct 2011
|
|
Clone of FSA EEA authorised firm.
|
|
Hoffman-Mueller
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111011
11 Oct 2011
|
|
No additional comments posted.
|
|
CrownWell International Holdings Limited
|
Securities and Futures Commission |
Hong Kong
|
20111011
11 Oct 2011
|
|
No additional comments posted.
|
|
Pretium Ventures
|
Australian Securities and Investments Commission |
Australia
|
20111011
11 Oct 2011
|
|
No additional comments posted.
|
|
Tortola Capital
|
Australian Securities and Investments Commission |
Australia
|
20111011
11 Oct 2011
|
|
No additional comments posted.
|
|
Swiss Bank FX
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111010
10 Oct 2011
|
|
No additional comments posted.
|
|
Hewitt & Stern
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111010
10 Oct 2011
|
|
No additional comments posted.
|
|
Credi Corp Securities (CCS)
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111010
10 Oct 2011
|
|
No additional comments posted.
|
|
Bancanz Private Banking Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111010
10 Oct 2011
|
|
No additional comments posted.
|
|
Mediterranean Consulting Company S.A.
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111010
10 Oct 2011
|
|
No additional comments posted.
|
|
Central and Eastern European Markets Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20111010
10 Oct 2011
|
|
Firm is falsely purporting to be regulated by the FSA.
|
|
Real-Bot Capital Management
|
Comisión Nacional del Mercado de Valores |
Spain
|
20111010
10 Oct 2011
|
|
No additional comments posted.
|
|
Grus Capital Management
|
Comisión Nacional del Mercado de Valores |
Spain
|
20111010
10 Oct 2011
|
|
No additional comments posted.
|
|
Jensen Ryan Lee Ltd.
|
Securities and Futures Commission |
Hong Kong
|
20111010
10 Oct 2011
|
|
No additional comments posted.
|
|
International Financial Court
|
Securities and Futures Commission |
Hong Kong
|
20111010
10 Oct 2011
|
|
No additional comments posted.
|
|
Global Investor Commission
|
Securities and Futures Commission |
Hong Kong
|
20111010
10 Oct 2011
|
|
No additional comments posted.
|
|
Beacon Pointe Securities
|
Securities and Futures Commission |
Hong Kong
|
20111010
10 Oct 2011
|
|
No additional comments posted.
|
|
Jinghua International Group
|
Finansinspektionen |
Sweden
|
20111007
07 Oct 2011
|
|
No additional comments posted.
|
|
Tribune Assets Management Ltd.
|
Finansinspektionen |
Sweden
|
20111007
07 Oct 2011
|
|
No additional comments posted.
|
|
Capital - Fund Holding
|
Czech National Bank |
Czech Republic
|
20111007
07 Oct 2011
|
|
Notice about the activities of Capital-Fund Holding
more
|
|
TrillionFX
|
Finansinspektionen |
Sweden
|
20111007
07 Oct 2011
|
|
No additional comments posted.
|
|
Global Financial Corp Worldwide, GFC
|
Finansinspektionen |
Sweden
|
20111007
07 Oct 2011
|
|
No additional comments posted.
|
|
McPherson Gordon Ltd.
|
Finansinspektionen |
Sweden
|
20111007
07 Oct 2011
|
|
No additional comments posted.
|
|
Global Capital Markets Worldwide, GCM
|
Finansinspektionen |
Sweden
|
20111007
07 Oct 2011
|
|
No additional comments posted.
|
|
Haynes - Hamilton Ventures
|
Finansinspektionen |
Sweden
|
20111007
07 Oct 2011
|
|
No additional comments posted.
|
|
Moore Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20111006
06 Oct 2011
|
|
Clone of FSA authorised firm; including the firm's address and FSA Firm Registration Number. For further details please see the FSA unauthorised firms lists via the FSA website.
|
|
STROLL MARKETING E ENTRETENIMENTO LTDA
|
Comissão de Valores Mobiliários |
Brazil
|
20111005
05 Oct 2011
|
|
Link: “Atos da CVM” within the “Legislação e Regulamentação” section. Unregistered issuer/securities. Not authorized by the CVM of Brazil to publicly offer securities or collective investment contracts.
|
|
Harris Trust Private Wealth Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20111005
05 Oct 2011
|
|
No additional comments posted.
|
|
Capital Edge Group
|
Financial Conduct Authority |
United Kingdom
|
20111005
05 Oct 2011
|
|
No additional comments posted.
|
|
Sunway International
|
Financial Market Authority |
Austria
|
20111005
05 Oct 2011
|
|
No additional comments posted.
|
|
Venture Partners Group & Cooper Green
|
Financial Services and Markets Authority |
Belgium
|
20111004
04 Oct 2011
|
|
warning
|
|
Vantagepro Asset Management
|
Financial Services and Markets Authority |
Belgium
|
20111004
04 Oct 2011
|
|
warning
|
|
Consolidated Credit Bank Limited
|
Jersey Financial Services Commission |
Jersey
|
20111004
04 Oct 2011
|
|
No additional comments posted.
|
|
AMERICAN PREMIER TRUST
|
Comissão de Valores Mobiliários |
Brazil
|
20111003
03 Oct 2011
|
|
Link: “Atos da CVM” within the “Legislação e Regulamentação” section. Not authorized by the CVM of Brazil to perform any activities within the securities market. Not authorized to publicly offer securities, to engage in securities consulting, to cons
more
|
|
Cadman Mergers and Acquisition
|
Financial Conduct Authority |
United Kingdom
|
20111003
03 Oct 2011
|
|
No additional comments posted.
|
|
Consuting Strategy Finance, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20111003
03 Oct 2011
|
|
No additional comments posted.
|
|
www.unifinan.es
|
Comisión Nacional del Mercado de Valores |
Spain
|
20111003
03 Oct 2011
|
|
No additional comments posted.
|
|
Market & Business Consulting Advice, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20111003
03 Oct 2011
|
|
No additional comments posted.
|
|
Consolidated Credit Bank (IOM) Ltd / Consolidated Credit Bank / http://consolidatedcrdtb.com/ccb/default.html
|
Isle of Man Financial Services Authority |
Isle of Man
|
20111003
03 Oct 2011
|
|
Bogus website
|
|
Synergy Capital
|
Finansinspektionen |
Sweden
|
20110930
30 Sep 2011
|
|
No additional comments posted.
|
|
Mélice Stock Market
|
Financial Services and Markets Authority |
Belgium
|
20110930
30 Sep 2011
|
|
warning
|
|
Bradley Associates
|
Financial Services and Markets Authority |
Belgium
|
20110930
30 Sep 2011
|
|
warning
|
|
Financial Affairs Corporation
|
Financial Conduct Authority |
United Kingdom
|
20110930
30 Sep 2011
|
|
Similar name used to that of an FSA authorised firm. For further details please see the FSA unauthorised firms lists via the FSA website.
|
|
Centrum Inwestycyjno-Oddluzeniowe
|
Polish Financial Supervision Authority |
Poland
|
20110930
30 Sep 2011
|
|
No additional comments posted.
|
|
North Point Commodities
|
Australian Securities and Investments Commission |
Australia
|
20110930
30 Sep 2011
|
|
No additional comments posted.
|
|
7526679 Canada Inc. O/A Quantum Trading
|
Ontario Securities Commission |
Ontario
|
20110929
29 Sep 2011
|
|
Company not registered
|
|
Harbert European Fund Advisors
|
Financial Conduct Authority |
United Kingdom
|
20110929
29 Sep 2011
|
|
Clone of FSA authorised firm. For further details please see the FSA unauthorised firms lists via the FSA website.
|
|
Cambridge Equity Corporation
|
Financial Conduct Authority |
United Kingdom
|
20110929
29 Sep 2011
|
|
No additional comments posted.
|
|
Coachtrader
|
Autorité des marchés financiers |
France
|
20110929
29 Sep 2011
|
|
The company Coachtrader offers French investors investment services, including advising on financial investing and asset management with a focus on foreign exchange markets and CFDs. This company has not been authorised to offer this type of service
more
|
|
Forex trading activities
|
Autorité des marchés financiers |
France
|
20110929
29 Sep 2011
|
|
Warning issued by the AMF and the ACP informing the public about offers to trade on FOREX through websites for which it has not been possible to clearly identify an authorised investment services provider
|
|
Mclintock Greer & Co
|
Securities and Futures Commission |
Hong Kong
|
20110928
28 Sep 2011
|
|
No additional comments posted.
|
|
The Crowne Registry
|
Securities and Futures Commission |
Hong Kong
|
20110928
28 Sep 2011
|
|
No additional comments posted.
|
|
SGS Global Limited
|
Securities and Futures Commission |
Hong Kong
|
20110928
28 Sep 2011
|
|
No additional comments posted.
|
|
Finance Asset Recovery
|
Danish Financial Supervisory Authority |
Denmark
|
20110927
27 Sep 2011
|
|
The Danish Financial Supervisory Authority has been informed that Finance Asset Recovery unsolicited has offered to carry out financial services. The company's address is Avenue de la Toison d'Or 24, 1050 Brussels, Belgium.
|
|
North Point Commodities
|
Securities and Futures Commission |
Hong Kong
|
20110927
27 Sep 2011
|
|
No additional comments posted.
|
|
Bergmann & Co. International
|
Securities and Futures Commission |
Hong Kong
|
20110927
27 Sep 2011
|
|
No additional comments posted.
|
|
Devonshire & Douglas Capital Partners
|
Securities and Futures Commission |
Hong Kong
|
20110927
27 Sep 2011
|
|
No additional comments posted.
|
|
The Private Bank Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20110926
26 Sep 2011
|
|
No additional comments posted.
|
|
Blake Morgan Financials
|
Jersey Financial Services Commission |
Jersey
|
20110926
26 Sep 2011
|
|
No additional comments posted.
|
|
Offshore Taxation Ltd
|
Financial Conduct Authority |
United Kingdom
|
20110926
26 Sep 2011
|
|
No additional comments posted.
|
|
Magnis Global
|
Danish Financial Supervisory Authority |
Denmark
|
20110923
23 Sep 2011
|
|
The Danish Financial Supervisory Authority has been informed that Magnis Global unsolicited has offered to carry out financial services. The company is using the following address: Level 23, Citigroup Tower, 33 Huayuanshiqiao Road, Shang-hai, Pudong
more
|
|
Shaffer-Lienhard
|
Danish Financial Supervisory Authority |
Denmark
|
20110923
23 Sep 2011
|
|
The Danish Financial Supervisory Authority has been informed that Shaffer-Lienhard unsolicited has offered to carry out financial services. The company is using the following address: International Business Plaza, 14 Austin Road West, Kowloon 2166 80
more
|
|
Leaders Asset Management
|
Danish Financial Supervisory Authority |
Denmark
|
20110923
23 Sep 2011
|
|
The Danish Financial Supervisory Authority has been informed that Leaders Asset Management unsolicited has offered to carry out financial services. The company's address is Nagatacho Housou Building 509, 2-21, 2-Chome Akasaka, Minato-ku, 107-005, Tok
more
|
|
Glendale Management Group
|
Danish Financial Supervisory Authority |
Denmark
|
20110923
23 Sep 2011
|
|
The Danish Financial Supervisory Authority has been informed that Glendale Management Group unsolicited has offered to carry out financial services. The company's address is 1553 4th Ave # 600, New York, NY USA 10017.
|
|
Wall Street Systems Holdings Incorporation
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20110923
23 Sep 2011
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Financial Improve 2008, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110922
22 Sep 2011
|
|
No additional comments posted.
|
|
Investors Management Services
|
Financial Conduct Authority |
United Kingdom
|
20110921
21 Sep 2011
|
|
No additional comments posted.
|
|
Savoy Investment Management
|
Financial Conduct Authority |
United Kingdom
|
20110921
21 Sep 2011
|
|
Clone of FSA authorised firm. For further details please see the FSA unauthorised firms lists via the FSA website.
|
|
X'CI X'CHANGE gmbh
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20110920
20 Sep 2011
|
|
No additional comments posted.
|
|
Dynamic Wealth Management
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20110920
20 Sep 2011
|
|
No additional comments posted.
|
|
Fischer & Schultz Independant Financial Advisors
|
Financial Conduct Authority |
United Kingdom
|
20110920
20 Sep 2011
|
|
No additional comments posted.
|
|
Sinopart Corporation
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20110920
20 Sep 2011
|
|
No additional comments posted.
|
|
LEK Equity Holding
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20110920
20 Sep 2011
|
|
No additional comments posted.
|
|
Delap Capital Services
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20110915
15 Sep 2011
|
|
No additional comments posted.
|
|
Wolfgang Investment Group
|
Swiss Financial Market Supervisory Authority |
Switzerland
|
20110915
15 Sep 2011
|
|
No additional comments posted.
|
|
Peterson Advisors Limited
|
Financial Conduct Authority |
United Kingdom
|
20110915
15 Sep 2011
|
|
No additional comments posted.
|
|
SGS Consultants Limited
|
Financial Conduct Authority |
United Kingdom
|
20110915
15 Sep 2011
|
|
No additional comments posted.
|
|
Advent Capital GmbH
|
Financial Conduct Authority |
United Kingdom
|
20110915
15 Sep 2011
|
|
Clone of UK incorporated firm
|
|
Maji Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20110915
15 Sep 2011
|
|
No additional comments posted.
|
|
Trade & Clear Limited
|
Securities and Futures Commission |
Hong Kong
|
20110915
15 Sep 2011
|
|
No additional comments posted.
|
|
Eldora Gold Resources Ltd.
|
Ontario Securities Commission |
Ontario
|
20110914
14 Sep 2011
|
|
Company not registered
|
|
North-West Financial Broker
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20110912
12 Sep 2011
|
|
Advisory Warning
|
|
AMR Business Services LLC
|
Financial Conduct Authority |
United Kingdom
|
20110912
12 Sep 2011
|
|
No additional comments posted.
|
|
Victory Suisse
|
Autorité des marchés financiers |
France
|
20110909
09 Sep 2011
|
|
No comments
|
|
Wall Street Consulting International Corp / Wall Street Consulting
|
Ontario Securities Commission |
Ontario
|
20110909
09 Sep 2011
|
|
Company not registered
|
|
Antek Global Consultants Ltd
|
Financial Conduct Authority |
United Kingdom
|
20110909
09 Sep 2011
|
|
No additional comments posted.
|
|
Square Mile Financial
|
Financial Conduct Authority |
United Kingdom
|
20110909
09 Sep 2011
|
|
Clone of FSA EEA authorised firm.
more
|
|
Castle Rock Corporate Finance
|
Finansinspektionen |
Sweden
|
20110909
09 Sep 2011
|
|
No additional comments posted.
|
|
Corporate One Asset Management
|
Finansinspektionen |
Sweden
|
20110909
09 Sep 2011
|
|
No additional comments posted.
|
|
Southampton Investment Services International
|
Securities and Futures Commission |
Hong Kong
|
20110909
09 Sep 2011
|
|
No additional comments posted.
|
|
Berrington Fund Management
|
Financial Conduct Authority |
United Kingdom
|
20110908
08 Sep 2011
|
|
Clone of a FSA EEA authorised firm
|
|
Hong Kong Finance Authority
|
Securities and Futures Commission |
Hong Kong
|
20110907
07 Sep 2011
|
|
No additional comments posted.
|
|
Bull Invest also trading as Bull Investment Advisors
|
Financial Conduct Authority |
United Kingdom
|
20110906
06 Sep 2011
|
|
Clone of FSA EEA authorised firm.
|
|
Ascensus International, and Ascensus Direct
|
Financial Conduct Authority |
United Kingdom
|
20110906
06 Sep 2011
|
|
No additional comments posted.
|
|
Lee Byers Ltd
|
Finansinspektionen |
Sweden
|
20110906
06 Sep 2011
|
|
No additional comments posted.
|
|
Global Capital Management
|
Finansinspektionen |
Sweden
|
20110906
06 Sep 2011
|
|
No additional comments posted.
|
|
Innis Financial Services LLC
|
Financial Conduct Authority |
United Kingdom
|
20110906
06 Sep 2011
|
|
No additional comments posted.
|
|
Premium Remittance Online Bank
|
Isle of Man Financial Services Authority |
Isle of Man
|
20110905
05 Sep 2011
|
|
Bogus online bank claiming to have Isle of Man address
|
|
Brenner and Associates
|
Financial Conduct Authority |
United Kingdom
|
20110902
02 Sep 2011
|
|
No additional comments posted.
|
|
Investment Capital Consultants
|
Financial Conduct Authority |
United Kingdom
|
20110902
02 Sep 2011
|
|
Company has "cloned" details of a FSA registered firm.
|
|
Hoffman Mueller
|
Financial Conduct Authority |
United Kingdom
|
20110902
02 Sep 2011
|
|
No additional comments posted.
|
|
Hong Kong Finance
|
Financial Conduct Authority |
United Kingdom
|
20110902
02 Sep 2011
|
|
No additional comments posted.
|
|
Gatemore Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20110902
02 Sep 2011
|
|
Clone of FSA authorised firm.
|
|
Square Mile Financial
|
Financial Conduct Authority |
United Kingdom
|
20110901
01 Sep 2011
|
|
Company has an identical website to "Square Mile Finance" on which the FSA previously issued a warning on 16 June 2011.
|
|
Century Commodities
|
Securities and Futures Commission |
Hong Kong
|
20110901
01 Sep 2011
|
|
No additional comments posted.
|
|
Easton Corporate Finance
|
Financial Conduct Authority |
United Kingdom
|
20110831
31 Aug 2011
|
|
No additional comments posted.
|
|
Belvedere Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20110831
31 Aug 2011
|
|
No additional comments posted.
|
|
Phoenix Cooper Financial
|
Financial Conduct Authority |
United Kingdom
|
20110830
30 Aug 2011
|
|
No additional comments posted.
|
|
Yakey MX, S.A. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
W.M. Advisors.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
WI Consultores.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
WI Cambios.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
WI Capital.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Tu Casa Express, S.A. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Sues Consultores y Asociados, S.C. (GRUPO SUES)
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Soluciones Económicas de la Península, S.A. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Servicios y Bienes Comerciales Empresarial, S.A. de C.V., (SYBCE)
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Soluciones Coyotepetl, S.A. DE C.V. Sofom E.N.R.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Soc. Coop. De Ahorro y Préstamo Cuxtitali.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Servicios Integrales de Apoyo Mutuo, S.A. Sofom E.N.R. and/or Financiera Comercial y Agropecuaria.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
SAROFIN, S.A. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
RYM Capital Corporation, S.A. DE C.V. Sofom E.N.R. and/or RYMCAPITAL LLC.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Operadora Peninsular de Apoyo Crediticio, S.A. de C.V., also known as “OPAC (Operando – Ayudando – Creciendo)”
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
MXBK Group S.A. de C.V., also known as MEXBANK S.A. de C.V. and MEXBANK Financiera, S.A. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
MexForex S.A. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Market Traders Institute.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Interbanc, S.A. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Instituto de Banca y Ahorro.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
InverBan S.A. de C.V. (INVERBAN)
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Impulsa Zion S.A. de C.V. (INVERZION)
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Hampton Consulting Group, S. de R.L. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Grupo Uharma de Mexico, S.A. DE C.V. Sofom, E.N.R.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Grupo Inmobiliario VERHOME S.A. de C.V., also known as INVERGROUP.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
FOREX.com.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Financiera Increfin, S.A. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Financiera del Pueblo, S.C. de R.L., also known as La Moneda del Pueblo, S.C. de R.L.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
FGI LLC, Mexico, S.A.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
De Vere & Partners, S. de R.L. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Fondos de Inversión DOT Fondos.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Desarrollos Inmobiliarios Yusana, S.A. de C.V., (INVERCAPITAL)
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Crédito Más, S.A. de C.V., also known as CRECICUENTAS.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Consultoría Especializada en Mercados, S.A. de C.V., (Master Field Consultants Limited)
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Construcciones Mauri, S.A. de C.V. (SITMA, Grupo Inmobiliario)
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
COMSBRA, S.A. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Comercializadora Servicios y Valor, S.A. de C.V., (INVERBIEN)
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Cooperativa de Consumo de Ahorro y Préstamo La Santa Veracruz, S.C.L.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Cooperativa de Consumo Caja Popular Jiménez, S.C.L.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
COBIRMEX, S.A. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
CAPITAL INSTITUTE, S.C. DE R.L., (CAPITALBANK)
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Caja Solidaria Villa de Jerez, S.C. DE R.L. DE C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
CAJA SOLIDARIA XU’UN ÑUU, S.C. A.P. DE R.L. DE C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Caja Solidaria La Mixteca, S.C.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110830
30 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Caja Solidaria Coliman, S.C. DE A.P. DE R.L. DE C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110829
29 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Caja Cerro del Tepeyac de Ahorro y Préstamo, S.C. DE R.L. DE C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110829
29 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Caja Solidaria Cerro De La Bufa, S.C. DE R.L. DE C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110829
29 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Caja Progresa, S.C. de R. L. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110829
29 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
BURCAP, S.A. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110829
29 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Boston Merchant Consulting Mexico, S. de R. L. de C.V.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110829
29 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Antares Capital Management
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110829
29 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Administrativos IG, S.A. de C.V. (INVERGLOBAL FINANCIERA)
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110829
29 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Abastecedor Agrícola e Industrial, S.A. de C.V., also known as INVERTIMAX.
|
Comisión Nacional Bancaria y de Valores |
Mexico
|
20110829
29 Aug 2011
|
|
The firm is not part of the Mexican Financial System, and it is neither supervised by the National Banking and Securities Commission (CNBV) of Mexico nor has been authorized to take deposits from the public. Also, this entity has not been authorized
more
|
|
Farrel, Thornton, Lloyd & Brown
|
Finansinspektionen |
Sweden
|
20110829
29 Aug 2011
|
|
No additional comments posted.
|
|
Hanglung Group
|
Financial Market Authority |
Austria
|
20110829
29 Aug 2011
|
|
No additional comments posted.
|
|
Ritter Group
|
Financial Market Authority |
Austria
|
20110829
29 Aug 2011
|
|
No additional comments posted.
|
|
Atlantis Financial
|
Financial Market Authority |
Austria
|
20110829
29 Aug 2011
|
|
No additional comments posted.
|
|
Navasota Group
|
Financial Market Authority |
Austria
|
20110829
29 Aug 2011
|
|
No additional comments posted.
|
|
Marcus & Company Inc.
|
Financial Market Authority |
Austria
|
20110829
29 Aug 2011
|
|
No additional comments posted.
|
|
Lincoln Equity Partners
|
Finansinspektionen |
Sweden
|
20110826
26 Aug 2011
|
|
No additional comments posted.
|
|
Hartford Asset Management
|
Finansinspektionen |
Sweden
|
20110826
26 Aug 2011
|
|
No additional comments posted.
|
|
Miller Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20110826
26 Aug 2011
|
|
No additional comments posted.
|
|
Taft MacKenzie Ventures, TMV
|
Finansinspektionen |
Sweden
|
20110826
26 Aug 2011
|
|
No additional comments posted.
|
|
International Mergers, Inc.
|
Finansinspektionen |
Sweden
|
20110826
26 Aug 2011
|
|
No additional comments posted.
|
|
Waytung Global
|
Securities and Futures Commission |
Hong Kong
|
20110826
26 Aug 2011
|
|
No additional comments posted.
|
|
City Index
|
Securities and Futures Commission |
Hong Kong
|
20110826
26 Aug 2011
|
|
No additional comments posted.
|
|
Ambros Group
|
Financial Conduct Authority |
United Kingdom
|
20110825
25 Aug 2011
|
|
No additional comments posted.
|
|
Forexcanus, Gain Capital - Forex.com UK Limited
|
Autorité des marchés financiers |
Quebec
|
20110825
25 Aug 2011
|
|
In recent weeks, the Autorité des marchés financiers ("AMF") has uncovered, particularly through Internet surveillance, several cases of companies that are unauthorized to operate in Québec and are soliciting investors to speculate on the currency ma
more
|
|
Churchill Capital also trading as Churchill International Group
|
Financial Conduct Authority |
United Kingdom
|
20110825
25 Aug 2011
|
|
Company has "cloned" details of a FSA authorised firm.
|
|
Inovatrade Inc. / Inovatrade Panama Inc.
|
Superintendencia del Mercado de Valores |
Panama
|
20110824
24 Aug 2011
|
|
Companies not registered.
|
|
BlackFox Capital
|
Autorité des marchés financiers |
Quebec
|
20110824
24 Aug 2011
|
|
The Autorité des marchés financiers (the AMF) is cautioning investors gainst solicitations carried out by BlackFox Capital and its representative, Daniel Wuthrich.
more
|
|
Sterling Finance AG
|
Financial Conduct Authority |
United Kingdom
|
20110824
24 Aug 2011
|
|
No additional comments posted.
|
|
Chelsea Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20110823
23 Aug 2011
|
|
Company has "cloned"the website design and content of an FSA authorised firm.
|
|
Milton Financials
|
Financial Conduct Authority |
United Kingdom
|
20110823
23 Aug 2011
|
|
Company has "cloned" the website design and content of an FSA authorised firm.
|
|
Asian AIM Incubator Co. Ltd
|
Securities Commission |
Malaysia
|
20110823
23 Aug 2011
|
|
No additional comments posted.
|
|
FHM & Associates
|
Jersey Financial Services Commission |
Jersey
|
20110822
22 Aug 2011
|
|
No additional comments posted.
|
|
Kaimon Global / Japan Options and Futures Exchange, JOFX
|
Finansinspektionen |
Sweden
|
20110822
22 Aug 2011
|
|
No additional comments posted.
|
|
Barrington Group
|
Financial Conduct Authority |
United Kingdom
|
20110819
19 Aug 2011
|
|
No additional comments posted.
|
|
Polaris Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20110819
19 Aug 2011
|
|
No additional comments posted.
|
|
CEEM Central & Eastern European Markets Asset Management
|
Financial Market Authority |
Austria
|
20110819
19 Aug 2011
|
|
No additional comments posted.
|
|
Donaldson and Turner Ltd.
|
Financial Market Authority |
Austria
|
20110819
19 Aug 2011
|
|
No additional comments posted.
|
|
Forextradingservice AG Ltd.
|
Financial Market Authority |
Austria
|
20110819
19 Aug 2011
|
|
No additional comments posted.
|
|
World Trade Institute
|
Financial Market Authority |
Austria
|
20110819
19 Aug 2011
|
|
No additional comments posted.
|
|
Lerch Consult London LcL.
|
Financial Market Authority |
Austria
|
20110819
19 Aug 2011
|
|
No additional comments posted.
|
|
Carter Litwin Inc.
|
Financial Market Authority |
Austria
|
20110819
19 Aug 2011
|
|
No additional comments posted.
|
|
Atlantic Capital Trust LLC
|
Financial Conduct Authority |
United Kingdom
|
20110818
18 Aug 2011
|
|
No additional comments posted.
|
|
Menzies & Co
|
Financial Conduct Authority |
United Kingdom
|
20110818
18 Aug 2011
|
|
Company has "cloned" details of a FSA authorised firm.
|
|
Hudson Macarthy Associates
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20110817
17 Aug 2011
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Operation Intercept
|
Securities Investor Protection Corporation |
United States of America
|
20110816
16 Aug 2011
|
|
Company is falsely claiming to have been hired by SIPC
|
|
STJ Advisors
|
Financial Conduct Authority |
United Kingdom
|
20110815
15 Aug 2011
|
|
No additional comments posted.
|
|
Apollo Tiger Fund
|
Financial Conduct Authority |
United Kingdom
|
20110812
12 Aug 2011
|
|
Company has "cloned" details of a FSA registered firm.
|
|
Powerhouse Corporate Finance
|
Financial Conduct Authority |
United Kingdom
|
20110812
12 Aug 2011
|
|
No additional comments posted.
|
|
IForex
|
Autorité des marchés financiers |
France
|
20110811
11 Aug 2011
|
|
Dear all
more
|
|
IN Commodities
|
Securities and Futures Commission |
Hong Kong
|
20110811
11 Aug 2011
|
|
No additional comments posted.
|
|
iForex
|
Autorité des marchés financiers |
France
|
20110810
10 Aug 2011
|
|
Dear all,
more
|
|
Thunderlight Entertainment
|
Ontario Securities Commission |
Ontario
|
20110809
09 Aug 2011
|
|
Company not registered
|
|
Sandford Hale & Co.
|
Financial Conduct Authority |
United Kingdom
|
20110809
09 Aug 2011
|
|
No additional comments posted.
|
|
Charles Lefevre and Koncept Marketing
|
Financial Services and Markets Authority |
Belgium
|
20110809
09 Aug 2011
|
|
warning
|
|
Final Hurdle Ltd
|
Financial Conduct Authority |
United Kingdom
|
20110809
09 Aug 2011
|
|
Company has "cloned" the name and FSA Firm Registration Number of an FSA authorised firm.
|
|
IG Administrative & Custodial Services Inc.
|
Superintendencia del Mercado de Valores |
Panama
|
20110808
08 Aug 2011
|
|
Company not registered
|
|
Joseph Cooke Ltd.
|
Superintendencia del Mercado de Valores |
Panama
|
20110808
08 Aug 2011
|
|
Company not registered
|
|
Intuition Capital Corporation
|
Financial Conduct Authority |
United Kingdom
|
20110808
08 Aug 2011
|
|
No additional comments posted.
|
|
Alternative Investments Advisors
|
Financial Conduct Authority |
United Kingdom
|
20110808
08 Aug 2011
|
|
No additional comments posted.
|
|
Sanford C. Bernstein & Co
|
Financial Conduct Authority |
United Kingdom
|
20110805
05 Aug 2011
|
|
No additional comments posted.
|
|
Glencore International Plc
|
Financial Conduct Authority |
United Kingdom
|
20110805
05 Aug 2011
|
|
No additional comments posted.
|
|
Equity Research Partners
|
Jersey Financial Services Commission |
Jersey
|
20110805
05 Aug 2011
|
|
No additional comments posted.
|
|
Global World Acquisitions
|
Jersey Financial Services Commission |
Jersey
|
20110805
05 Aug 2011
|
|
No additional comments posted.
|
|
Banner Commodities
|
Securities and Futures Commission |
Hong Kong
|
20110805
05 Aug 2011
|
|
No additional comments posted.
|
|
Affirmative Management Ltd
|
Securities and Futures Commission |
Hong Kong
|
20110805
05 Aug 2011
|
|
No additional comments posted.
|
|
Alpha Trade
|
Securities and Futures Commission |
Hong Kong
|
20110805
05 Aug 2011
|
|
No additional comments posted.
|
|
AC Alternative
|
Financial Conduct Authority |
United Kingdom
|
20110804
04 Aug 2011
|
|
No additional comments posted.
|
|
Westminster Financial Services
|
Financial Conduct Authority |
United Kingdom
|
20110804
04 Aug 2011
|
|
No additional comments posted.
|
|
Montrose Group
|
Financial Conduct Authority |
United Kingdom
|
20110804
04 Aug 2011
|
|
No additional comments posted.
|
|
HK Pacific
|
Securities and Futures Commission |
Hong Kong
|
20110804
04 Aug 2011
|
|
No additional comments posted.
|
|
Karway Transfer
|
Securities and Futures Commission |
Hong Kong
|
20110804
04 Aug 2011
|
|
No additional comments posted.
|
|
Capstone Financial Group UK
|
Financial Conduct Authority |
United Kingdom
|
20110803
03 Aug 2011
|
|
Company has "cloned" details of a FSA EEA-authorised firm and is similarly named to a FSA registered firm.
|
|
Blue Sky Management
|
Financial Conduct Authority |
United Kingdom
|
20110803
03 Aug 2011
|
|
No additional comments posted.
|
|
Peterson Advisory Limited
|
Jersey Financial Services Commission |
Jersey
|
20110803
03 Aug 2011
|
|
No additional comments posted.
|
|
Kyodo Securities and Satori Group
|
Autorité des marchés financiers |
France
|
20110803
03 Aug 2011
|
|
Please find attached warning issued by the AMF relating to KYODO SECURITIES and SATORI GROUP. These companies contact investors living in France, mainly by telephone, in order to persuade them to buy shares in foreign companies. The investment propos
more
|
|
Fairvesta
|
Autorité des marchés financiers |
France
|
20110803
03 Aug 2011
|
|
Please find attached warning issued by the AMF relating to FAIRVESTA. This company offers real estate investments such as Mercatus VIII, Lumis, and Chronos with an outlook for high returns. The investment proposed by the company FAIRVESTA has not bee
more
|
|
Ace EU Markets
|
Financial Conduct Authority |
United Kingdom
|
20110803
03 Aug 2011
|
|
Company has "cloned" the details of an FSA authorised firm.
|
|
Vettrax Energy Inc
|
Isle of Man Financial Services Authority |
Isle of Man
|
20110803
03 Aug 2011
|
|
Bogus job opportunities being offered to individuals. Requires completion of Expatriate Insurance form from Isle of Man City Council that does not exist.
|
|
Royal Alliance (U.K.) Group
|
Isle of Man Financial Services Authority |
Isle of Man
|
20110803
03 Aug 2011
|
|
Investment opportunities being offered to individuals using purported company Royal Alliance (U.K.) Group using Isle of Man address of 45 Athol Street, Douglas, Isle of Man. Not known at this address.
|
|
Gaming Software Distribution limited
|
Isle of Man Financial Services Authority |
Isle of Man
|
20110803
03 Aug 2011
|
|
Purported company Gaming Software Distribution Limited using falsified Isle of Man Government documents to claim they are licensed by the Isle of Man Gambling Supervision Commission
|
|
Bogus Job Offer - Danubius Regents Park Hotel
|
Isle of Man Financial Services Authority |
Isle of Man
|
20110803
03 Aug 2011
|
|
Individuals targeted with bogus job offer. Requires upfront payment for official documentation from fictitious agency Visa Control and Boarder (sic) Agency
|
|
Hewitt & Stern
|
Financial Conduct Authority |
United Kingdom
|
20110803
03 Aug 2011
|
|
No additional comments posted.
|
|
Mount Vernon Equities Inc.
|
Financial Conduct Authority |
United Kingdom
|
20110802
02 Aug 2011
|
|
No additional comments posted.
|
|
Greyson Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20110801
01 Aug 2011
|
|
No additional comments posted.
|
|
Allendale Financial Services Limited 1959
|
Financial Conduct Authority |
United Kingdom
|
20110801
01 Aug 2011
|
|
Company has "cloned" the identity of an active FSA authorised firm, and two dormant FSA authorised firms.
|
|
Madison Avenue Mergers & Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20110801
01 Aug 2011
|
|
No additional comments posted.
|
|
Red House Capital Partners, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110801
01 Aug 2011
|
|
No additional comments posted.
|
|
Quatermaan Brothers Gestion, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110801
01 Aug 2011
|
|
No additional comments posted.
|
|
Mercadivisas Internacional, S.A.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110801
01 Aug 2011
|
|
No additional comments posted.
|
|
Canada Pacific Consulting Inc.
|
British Columbia Securities Commission |
British Columbia
|
20110729
29 Jul 2011
|
|
No additional comments posted.
|
|
Crawford & Knight
|
Financial Conduct Authority |
United Kingdom
|
20110729
29 Jul 2011
|
|
No additional comments posted.
|
|
Sandford C. Bernstein (Asia) Limited
|
Securities and Futures Commission |
Hong Kong
|
20110729
29 Jul 2011
|
|
No additional comments posted.
|
|
SWIM WORLDWIDE
|
Comissão de Valores Mobiliários |
Brazil
|
20110728
28 Jul 2011
|
|
Link: “Atos da CVM” within the “Legislação e Regulamentação” section. Not authorized by the CVM of Brazil to perform any activities within the securities market. Not authorized to publicly offer securities, to engage in securities consulting, to cons
more
|
|
Cristos Investments SA
|
Financial Conduct Authority |
United Kingdom
|
20110728
28 Jul 2011
|
|
No additional comments posted.
|
|
Butler Investment Managers
|
Financial Conduct Authority |
United Kingdom
|
20110727
27 Jul 2011
|
|
No additional comments posted.
|
|
Global Investment Group
|
Financial Conduct Authority |
United Kingdom
|
20110727
27 Jul 2011
|
|
No additional comments posted.
|
|
First Investment International Funds Plc
|
Financial Conduct Authority |
United Kingdom
|
20110727
27 Jul 2011
|
|
Company has "cloned" the details of an FSA authorised firm.
|
|
Peak Power Direct
|
Financial Conduct Authority |
United Kingdom
|
20110726
26 Jul 2011
|
|
No additional comments posted.
|
|
Belgrave Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20110726
26 Jul 2011
|
|
No additional comments posted.
|
|
Leggmason Investors Asset Management Plc
|
Financial Conduct Authority |
United Kingdom
|
20110725
25 Jul 2011
|
|
No additional comments posted.
|
|
Bluestream Capital Corp.
|
Ontario Securities Commission |
Ontario
|
20110722
22 Jul 2011
|
|
Company not registered
|
|
Bluestream International Investments
|
Ontario Securities Commission |
Ontario
|
20110722
22 Jul 2011
|
|
Company not registered
|
|
Bluestream Private Client Services
|
Ontario Securities Commission |
Ontario
|
20110722
22 Jul 2011
|
|
Company not registered
|
|
Intereast Securities Ltd
|
Securities and Futures Commission |
Hong Kong
|
20110722
22 Jul 2011
|
|
No additional comments posted.
|
|
Westhorpe Capital
|
Securities and Futures Commission |
Hong Kong
|
20110722
22 Jul 2011
|
|
No additional comments posted.
|
|
The Roiet Trading
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110720
20 Jul 2011
|
|
No additional comments posted.
|
|
Search Profit Corporation, S.L.U.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110720
20 Jul 2011
|
|
No additional comments posted.
|
|
Mercadia Asesores, S.A.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110720
20 Jul 2011
|
|
No additional comments posted.
|
|
Business Castle Fenix, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110720
20 Jul 2011
|
|
No additional comments posted.
|
|
HongKong Sega Bullion Limited
|
Securities and Futures Commission |
Hong Kong
|
20110720
20 Jul 2011
|
|
No additional comments posted.
|
|
High Profit Investment Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20110719
19 Jul 2011
|
|
No additional comments posted.
|
|
OFFSHORE TRADING INC.
|
Superintendencia del Mercado de Valores |
Panama
|
20110719
19 Jul 2011
|
|
Company not registered
|
|
Richard Davies Investors Limited
|
Financial Conduct Authority |
United Kingdom
|
20110719
19 Jul 2011
|
|
Company has "cloned" the details of a UK firm; and the design and content of a website for an FSA authorised firm.
|
|
Svl Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20110719
19 Jul 2011
|
|
No additional comments posted.
|
|
MORETTI ASSOCIATES-LANTAU INTERNATIONAL
|
Financial Services and Markets Authority |
Belgium
|
20110719
19 Jul 2011
|
|
No additional comments posted.
|
|
FSRAB
|
Financial Services and Markets Authority |
Belgium
|
20110719
19 Jul 2011
|
|
warning
|
|
FG SOLUTIONS INTERNATIONAL
|
Financial Services and Markets Authority |
Belgium
|
20110719
19 Jul 2011
|
|
warning
|
|
Zenton Ltd
|
Securities and Futures Commission |
Hong Kong
|
20110719
19 Jul 2011
|
|
No additional comments posted.
|
|
Plainc Inc.
|
Superintendencia del Mercado de Valores |
Panama
|
20110718
18 Jul 2011
|
|
Company not registered
|
|
PRIVATIERS ASSET MANAGEMENT
|
Comissão de Valores Mobiliários |
Brazil
|
20110718
18 Jul 2011
|
|
Link: “Atos da CVM” within the “Legislação e Regulamentação” section. Not authorized by the CVM of Brazil to perform any activities within the securities market. Not authorized to publicly offer securities, to constitute or manage investment funds/in
more
|
|
Institutional Equity Partners
|
Securities and Futures Commission |
Hong Kong
|
20110718
18 Jul 2011
|
|
No additional comments posted.
|
|
Master Vision Group of Banks
|
Securities and Futures Commission |
Hong Kong
|
20110718
18 Jul 2011
|
|
No additional comments posted.
|
|
Premier E-Finance
|
Securities and Futures Commission |
Hong Kong
|
20110718
18 Jul 2011
|
|
No additional comments posted.
|
|
Best Select Finanz
|
Financial Conduct Authority |
United Kingdom
|
20110714
14 Jul 2011
|
|
Company has "cloned" details of a previously FSA EEA-authorised firm.
|
|
Consolidation Resource Management Inc.
|
Ontario Securities Commission |
Ontario
|
20110714
14 Jul 2011
|
|
Company not registered
|
|
Moretti Associates
|
Ontario Securities Commission |
Ontario
|
20110714
14 Jul 2011
|
|
Company not registered
|
|
Brentwood Capital Ventures
|
Financial Conduct Authority |
United Kingdom
|
20110714
14 Jul 2011
|
|
No additional comments posted.
|
|
Global One International
|
Financial Conduct Authority |
United Kingdom
|
20110713
13 Jul 2011
|
|
No additional comments posted.
|
|
Miller & Parker Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20110713
13 Jul 2011
|
|
No additional comments posted.
|
|
Axa Rosenberg Investment Management Ltd
|
Financial Conduct Authority |
United Kingdom
|
20110713
13 Jul 2011
|
|
Company has "cloned" details of an FSA authorised firm.
|
|
Werner Group International
|
Ontario Securities Commission |
Ontario
|
20110711
11 Jul 2011
|
|
Company not registered
|
|
Tsuen Wan International
|
Securities and Futures Commission |
Hong Kong
|
20110711
11 Jul 2011
|
|
No additional comments posted.
|
|
R.A. Lafferty Inc
|
Financial Conduct Authority |
United Kingdom
|
20110707
07 Jul 2011
|
|
No additional comments posted.
|
|
Weissmuller and Sons
|
Securities and Futures Commission |
Hong Kong
|
20110707
07 Jul 2011
|
|
No additional comments posted.
|
|
Invesco Perpetual - Invesco Gold Precious Metals Fund
|
Financial Conduct Authority |
United Kingdom
|
20110706
06 Jul 2011
|
|
No additional comments posted.
|
|
International Regulation Services
|
Financial Conduct Authority |
United Kingdom
|
20110706
06 Jul 2011
|
|
No additional comments posted.
|
|
Peregrine International Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20110705
05 Jul 2011
|
|
No additional comments posted.
|
|
Johnson & Sterling Consulting Services
|
Financial Conduct Authority |
United Kingdom
|
20110705
05 Jul 2011
|
|
No additional comments posted.
|
|
SCB
|
Securities and Futures Commission |
Hong Kong
|
20110704
04 Jul 2011
|
|
No additional comments posted.
|
|
Ultimarkets Trading Solutions Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20110630
30 Jun 2011
|
|
Advisory warning
|
|
AZ Markets
|
Financial Conduct Authority |
United Kingdom
|
20110630
30 Jun 2011
|
|
No additional comments posted.
|
|
Corporate One Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20110630
30 Jun 2011
|
|
No additional comments posted.
|
|
Lantau Goldwell
|
Danish Financial Supervisory Authority |
Denmark
|
20110629
29 Jun 2011
|
|
The Danish Financial Supervisory Authority has been informed that Lantau Goldwell unsolicited has offered to carry out financial services.
more
|
|
Easton Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20110629
29 Jun 2011
|
|
No additional comments posted.
|
|
Euromax Capital
|
Financial Conduct Authority |
United Kingdom
|
20110629
29 Jun 2011
|
|
No additional comments posted.
|
|
Columbia Direct Corp
|
Financial Conduct Authority |
United Kingdom
|
20110628
28 Jun 2011
|
|
No additional comments posted.
|
|
Globalbanc Financial Services Limited
|
Financial Conduct Authority |
United Kingdom
|
20110628
28 Jun 2011
|
|
No additional comments posted.
|
|
BvB Development SA
|
Financial Services and Markets Authority |
Belgium
|
20110628
28 Jun 2011
|
|
warning
|
|
First Inc Limited
|
Financial Conduct Authority |
United Kingdom
|
20110628
28 Jun 2011
|
|
No additional comments posted.
|
|
Corporate One Asset Management
|
Jersey Financial Services Commission |
Jersey
|
20110624
24 Jun 2011
|
|
No additional comments posted.
|
|
Trafalgar International
|
Financial Services and Markets Authority |
Belgium
|
20110624
24 Jun 2011
|
|
No additional comments posted.
|
|
DC Financial
|
Finansinspektionen |
Sweden
|
20110623
23 Jun 2011
|
|
No additional comments posted.
|
|
Werner Group International
|
Finansinspektionen |
Sweden
|
20110623
23 Jun 2011
|
|
No additional comments posted.
|
|
Yoshida Corp.
|
Finansinspektionen |
Sweden
|
20110623
23 Jun 2011
|
|
No additional comments posted.
|
|
Eagle Star International Services Ltd
|
Financial Conduct Authority |
United Kingdom
|
20110623
23 Jun 2011
|
|
No additional comments posted.
|
|
Blackbird Leys Credit Union
|
Financial Conduct Authority |
United Kingdom
|
20110622
22 Jun 2011
|
|
No additional comments posted.
|
|
Broche Capital Advisors
|
Financial Conduct Authority |
United Kingdom
|
20110622
22 Jun 2011
|
|
No additional comments posted.
|
|
Advantage Finance European Futures Fund Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20110622
22 Jun 2011
|
|
Advisory warning
|
|
SMG Assurance Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20110622
22 Jun 2011
|
|
Advisory warning
|
|
Harborlight FAB Fund Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20110622
22 Jun 2011
|
|
Advisory warning
|
|
Telerad Property & Casualty Insurance Corporation
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20110622
22 Jun 2011
|
|
Advisory warning
|
|
Epicon Financial
|
Financial Conduct Authority |
United Kingdom
|
20110622
22 Jun 2011
|
|
No additional comments posted.
|
|
Kyodo Securities
|
Financial Market Authority |
Austria
|
20110622
22 Jun 2011
|
|
No additional comments posted.
|
|
Raffles Asset Management Inc
|
Financial Market Authority |
Austria
|
20110622
22 Jun 2011
|
|
No additional comments posted.
|
|
Peter Hamilton Law Firm & Consultancy
|
Financial Market Authority |
Austria
|
20110622
22 Jun 2011
|
|
No additional comments posted.
|
|
Axis Corporate Finance
|
Financial Market Authority |
Austria
|
20110622
22 Jun 2011
|
|
No additional comments posted.
|
|
Blackstone
|
Financial Conduct Authority |
United Kingdom
|
20110622
22 Jun 2011
|
|
No additional comments posted.
|
|
New York Global Group, Inc.
|
Finansinspektionen |
Sweden
|
20110621
21 Jun 2011
|
|
Updated alert
|
|
Guardian International Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20110620
20 Jun 2011
|
|
Advisory warning
|
|
Sharp Courage Global Limited
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20110620
20 Jun 2011
|
|
Advisory warning
|
|
Corporate One Asset Management
|
Finansinspektionen |
Sweden
|
20110620
20 Jun 2011
|
|
No additional comments posted.
|
|
First Initial Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20110620
20 Jun 2011
|
|
No additional comments posted.
|
|
Evolution Securities
|
Financial Conduct Authority |
United Kingdom
|
20110617
17 Jun 2011
|
|
No additional comments posted.
|
|
Apex Holdings
|
Financial Conduct Authority |
United Kingdom
|
20110617
17 Jun 2011
|
|
No additional comments posted.
|
|
Hesketh Leihner and Beijing Futures Exchange, BFEX
|
Finansinspektionen |
Sweden
|
20110617
17 Jun 2011
|
|
Please, also see investor alerts against Breisach Liebman and Kyoto Mer-cantile Exchange, KMEX, issued 21 March 2011 and Shaffer Lienhard and Beijing Mercantile Exchange, BEMEX issued 27 April 2011.
|
|
Progress Advisors LLC
|
Financial Conduct Authority |
United Kingdom
|
20110617
17 Jun 2011
|
|
No additional comments posted.
|
|
Aerolite Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20110616
16 Jun 2011
|
|
Advisory warning
|
|
|
Autorité des marchés financiers |
Quebec
|
20110616
16 Jun 2011
|
|
No additional comments posted.
|
|
Interdealer Brokers (IDB)
|
Financial Conduct Authority |
United Kingdom
|
20110616
16 Jun 2011
|
|
No additional comments posted.
|
|
Square Mile Finance
|
Financial Conduct Authority |
United Kingdom
|
20110616
16 Jun 2011
|
|
No additional comments posted.
|
|
Adaptis Group
|
Financial Services and Markets Authority |
Belgium
|
20110616
16 Jun 2011
|
|
warning
|
|
Guardian Creative Tax Planners and Guardian International Ltd
|
Financial Services and Markets Authority |
Belgium
|
20110616
16 Jun 2011
|
|
warning
|
|
Invesco Perpetual
|
Financial Conduct Authority |
United Kingdom
|
20110615
15 Jun 2011
|
|
No additional comments posted.
|
|
International Bank Vaults Courier Services
|
Isle of Man Financial Services Authority |
Isle of Man
|
20110615
15 Jun 2011
|
|
Purported company holding out as using Isle of Man address - 2nd Floor, Millennium House, Victoria Road, Douglas, Isle of Man. Potential advanced fee fraud.
|
|
Shengtai Group
|
Securities and Futures Commission |
Hong Kong
|
20110615
15 Jun 2011
|
|
No additional comments posted.
|
|
Wolf Investment Solutions
|
Financial Conduct Authority |
United Kingdom
|
20110614
14 Jun 2011
|
|
No additional comments posted.
|
|
Bolero BPO LLC
|
Financial Conduct Authority |
United Kingdom
|
20110614
14 Jun 2011
|
|
No additional comments posted.
|
|
LEK Consulting Group
|
Financial Conduct Authority |
United Kingdom
|
20110613
13 Jun 2011
|
|
No additional comments posted.
|
|
Edgar International Company Limited
|
Securities and Futures Commission |
Hong Kong
|
20110613
13 Jun 2011
|
|
No additional comments posted.
|
|
SGS Consultants Limited
|
Finansinspektionen |
Sweden
|
20110610
10 Jun 2011
|
|
No additional comments posted.
|
|
Panmure Gordon & Co
|
Financial Conduct Authority |
United Kingdom
|
20110610
10 Jun 2011
|
|
No additional comments posted.
|
|
Prestige Property Portfolio
|
Financial Services and Markets Authority |
Belgium
|
20110610
10 Jun 2011
|
|
warning
|
|
Mercier and Clark
|
Autorité des marchés financiers |
France
|
20110610
10 Jun 2011
|
|
Warning issued by the AMF relating to Mercier and Clark (registered office 1 Canada Square, London, E14 5EU; Website : www.mercierclark.com). This firm offers investment services to French investors (including in particular investment advice and por
more
|
|
JLS Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20110609
09 Jun 2011
|
|
No additional comments posted.
|
|
Strategic Private Equity Group
|
Financial Market Authority |
Austria
|
20110609
09 Jun 2011
|
|
No additional comments posted.
|
|
Baker & Higgs Asset Management
|
Financial Market Authority |
Austria
|
20110609
09 Jun 2011
|
|
No additional comments posted.
|
|
Jin Hue Finance
|
Securities and Futures Commission |
Hong Kong
|
20110609
09 Jun 2011
|
|
No additional comments posted.
|
|
EFD Financial Group Company Limited
|
Securities and Futures Commission |
Hong Kong
|
20110609
09 Jun 2011
|
|
No additional comments posted.
|
|
Bridport Advisory
|
Financial Conduct Authority |
United Kingdom
|
20110608
08 Jun 2011
|
|
No additional comments posted.
|
|
Advance Fee Fraud / Bogus Employee - Update
|
Isle of Man Financial Services Authority |
Isle of Man
|
20110608
08 Jun 2011
|
|
Individuals falsely purporting to be employees of the genuine Irish Nationwide (I.O.M.) Limited
|
|
Ryhat Establishment Investment Trust
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20110608
08 Jun 2011
|
|
No additional comments posted.
|
|
Courtney Brown Group
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20110608
08 Jun 2011
|
|
No additional comments posted.
|
|
Amsel Commodities
|
Financial Market Authority |
Austria
|
20110607
07 Jun 2011
|
|
No additional comments posted.
|
|
Lightman Associates
|
Financial Conduct Authority |
United Kingdom
|
20110607
07 Jun 2011
|
|
No additional comments posted.
|
|
Crossley Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20110607
07 Jun 2011
|
|
No additional comments posted.
|
|
Reliance Asset Management Ltd.
|
Finansinspektionen |
Sweden
|
20110607
07 Jun 2011
|
|
No additional comments posted.
|
|
FINRA
|
Financial Industry Regulatory Authority |
United States of America
|
20110606
06 Jun 2011
|
|
No additional comments posted.
|
|
Courtney Brown Group
|
Financial Conduct Authority |
United Kingdom
|
20110606
06 Jun 2011
|
|
No additional comments posted.
|
|
Citi Capital Partnership
|
Financial Conduct Authority |
United Kingdom
|
20110603
03 Jun 2011
|
|
No additional comments posted.
|
|
SVM Ireland
|
Financial Conduct Authority |
United Kingdom
|
20110603
03 Jun 2011
|
|
No additional comments posted.
|
|
Tortola Capital
|
Central Bank of Ireland |
Ireland
|
20110603
03 Jun 2011
|
|
Tortola Capital is not authorised to provide investment services in Ireland. The firm purports to be based in Hungary, The Bahamas, British Virgin Islands, Hong Kong & Belgium.
|
|
Futuro Financial
|
Central Bank of Ireland |
Ireland
|
20110603
03 Jun 2011
|
|
Futuro Financial is not authorised to provide investment services in Ireland. The firm purports to be based in Japan
|
|
Andreas Braasch
|
Financial Conduct Authority |
United Kingdom
|
20110603
03 Jun 2011
|
|
No additional comments posted.
|
|
Europa Capital Group
|
Financial Conduct Authority |
United Kingdom
|
20110603
03 Jun 2011
|
|
No additional comments posted.
|
|
Europa Financial Group
|
Financial Conduct Authority |
United Kingdom
|
20110603
03 Jun 2011
|
|
No additional comments posted.
|
|
SPS Investments GmbH
|
Financial Conduct Authority |
United Kingdom
|
20110602
02 Jun 2011
|
|
No additional comments posted.
|
|
Global Financial Services Regulatory Committee
|
Securities and Futures Commission |
Hong Kong
|
20110602
02 Jun 2011
|
|
No additional comments posted.
|
|
Interactive Trade
|
Securities and Futures Commission |
Hong Kong
|
20110602
02 Jun 2011
|
|
No additional comments posted.
|
|
Strategic Management, Inc. / International Bureau Trade Commission
|
Finansinspektionen |
Sweden
|
20110601
01 Jun 2011
|
|
No additional comments posted.
|
|
Asset Restoration Facility
|
Financial Conduct Authority |
United Kingdom
|
20110601
01 Jun 2011
|
|
No additional comments posted.
|
|
CDV Investments (Europe)
|
Financial Market Authority |
Austria
|
20110531
31 May 2011
|
|
No additional comments posted.
|
|
Syndicated Wealth Group
|
Financial Market Authority |
Austria
|
20110531
31 May 2011
|
|
No additional comments posted.
|
|
William Smith and Company
|
Financial Market Authority |
Austria
|
20110531
31 May 2011
|
|
No additional comments posted.
|
|
Octagon Financial Group
|
Financial Conduct Authority |
United Kingdom
|
20110531
31 May 2011
|
|
No additional comments posted.
|
|
Golden Futures Trader
|
British Columbia Securities Commission |
British Columbia
|
20110530
30 May 2011
|
|
No additional comments posted.
|
|
Marcus & Company Inc.
|
Finansinspektionen |
Sweden
|
20110530
30 May 2011
|
|
No additional comments posted.
|
|
Apex Holdings Ltd
|
Finansinspektionen |
Sweden
|
20110530
30 May 2011
|
|
No additional comments posted.
|
|
Magnis Global
|
Finansinspektionen |
Sweden
|
20110530
30 May 2011
|
|
No additional comments posted.
|
|
Delta West Financial Management
|
Finansinspektionen |
Sweden
|
20110530
30 May 2011
|
|
No additional comments posted.
|
|
Unauthorised websites offering binary options
|
Autorité des marchés financiers |
France
|
20110526
26 May 2011
|
|
Please find attached warning issued by the AMF relating to offers to trade on binary options through websites for which it has not been possible to clearly identify an authorised investment services provider:
more
|
|
Shaffer Lienhard
|
Autorité des marchés financiers |
France
|
20110526
26 May 2011
|
|
Please find attached warning issued by the AMF relating to proposals of financial investment services and financial investments, notably in gold and weather derivatives, without authorisation by Shaffer Lienhard
|
|
Bentley Capital Group Ltd.
|
Ontario Securities Commission |
Ontario
|
20110526
26 May 2011
|
|
Company not registered
|
|
Goldberger & Decadenet
|
Financial Conduct Authority |
United Kingdom
|
20110526
26 May 2011
|
|
No additional comments posted.
|
|
International Youtrade Investments MA Ltd
|
Autorité des marchés financiers |
Quebec
|
20110525
25 May 2011
|
|
The Autorité des marchés financiers is cautioning investors about solicitations made by International Youtrade Investments MA Ltd. and You Trade Holdings Limited on the www.youtradefx.com and www.ytfxaffiliates.com websites.
|
|
International Youtrade Investments MA Ltd
|
Autorité des marchés financiers |
Quebec
|
20110525
25 May 2011
|
|
The Autorité des marchés financiers is cautioning investors about solicitations made by International Youtrade Investments MA Ltd. and You Trade Holdings Limited on the www.youtradefx.com and www.ytfxaffiliates.com websites.
|
|
LIT Corp.
|
Ontario Securities Commission |
Ontario
|
20110525
25 May 2011
|
|
Company not registered
|
|
Global Efficiency Inc.
|
Ontario Securities Commission |
Ontario
|
20110525
25 May 2011
|
|
Company not registered
|
|
Drexel Lambert Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20110524
24 May 2011
|
|
No additional comments posted.
|
|
Landen Options and Futures
|
Financial Services and Markets Authority |
Belgium
|
20110524
24 May 2011
|
|
No additional comments posted.
|
|
Escrow Advisory Group
|
Financial Conduct Authority |
United Kingdom
|
20110523
23 May 2011
|
|
No additional comments posted.
|
|
Clayton Pressman Ivy International
|
Financial Conduct Authority |
United Kingdom
|
20110523
23 May 2011
|
|
No additional comments posted.
|
|
RDS Commodities
|
Financial Conduct Authority |
United Kingdom
|
20110523
23 May 2011
|
|
No additional comments posted.
|
|
International Court of Finance
|
Securities and Futures Commission |
Hong Kong
|
20110523
23 May 2011
|
|
No additional comments posted.
|
|
International Investor Commission
|
Securities and Futures Commission |
Hong Kong
|
20110523
23 May 2011
|
|
No additional comments posted.
|
|
Lyndon Pearce
|
Financial Conduct Authority |
United Kingdom
|
20110519
19 May 2011
|
|
No additional comments posted.
|
|
SLV Worldwide Inc
|
Securities Commission |
Malaysia
|
20110519
19 May 2011
|
|
No additional comments posted.
|
|
First Inc Limited
|
Finansinspektionen |
Sweden
|
20110518
18 May 2011
|
|
No additional comments posted.
|
|
Elite Independent Financial Advisers
|
Financial Conduct Authority |
United Kingdom
|
20110517
17 May 2011
|
|
No additional comments posted.
|
|
Close Capital Investments
|
Financial Conduct Authority |
United Kingdom
|
20110517
17 May 2011
|
|
No additional comments posted.
|
|
Panda Group
|
Comissão de Valores Mobiliários |
Brazil
|
20110517
17 May 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
Trendex Research UK
|
Financial Conduct Authority |
United Kingdom
|
20110516
16 May 2011
|
|
No additional comments posted.
|
|
Bright Bridge Wealth Management Inc.
|
Financial Conduct Authority |
United Kingdom
|
20110513
13 May 2011
|
|
No additional comments posted.
|
|
Capital Invest Trading
|
Financial Conduct Authority |
United Kingdom
|
20110512
12 May 2011
|
|
No additional comments posted.
|
|
Gordon Group Services
|
Financial Conduct Authority |
United Kingdom
|
20110512
12 May 2011
|
|
No additional comments posted.
|
|
RegiGlobe
|
Securities and Futures Commission |
Hong Kong
|
20110512
12 May 2011
|
|
No additional comments posted.
|
|
Lantau International
|
Financial Market Authority |
Austria
|
20110511
11 May 2011
|
|
No additional comments posted.
|
|
Futures Options Authority Vienna (FOAV)”
|
Financial Market Authority |
Austria
|
20110511
11 May 2011
|
|
Futures Options Authority Vienna (FOAV)” ist keine österreichische Aufsichtsbehörde
more
|
|
Apex Stock Transfer Inc.
|
Financial Conduct Authority |
United Kingdom
|
20110511
11 May 2011
|
|
No additional comments posted.
|
|
Price and Partners Consultants
|
Securities and Futures Commission |
Hong Kong
|
20110511
11 May 2011
|
|
No additional comments posted.
|
|
Brachmann Inter Dealer Services
|
Financial Conduct Authority |
United Kingdom
|
20110510
10 May 2011
|
|
No additional comments posted.
|
|
Roiet Trading
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20110510
10 May 2011
|
|
No additional comments posted.
|
|
Elite EEA Investment Portfolio
|
Financial Conduct Authority |
United Kingdom
|
20110510
10 May 2011
|
|
No additional comments posted.
|
|
Wolf Investment Solutions
|
Finansinspektionen |
Sweden
|
20110509
09 May 2011
|
|
No additional comments posted.
|
|
New Outlook Management Group
|
Financial Conduct Authority |
United Kingdom
|
20110506
06 May 2011
|
|
No additional comments posted.
|
|
Complete Options Trading
|
Ontario Securities Commission |
Ontario
|
20110505
05 May 2011
|
|
Company not registered
|
|
Mercier and Clark Partners
|
Financial Conduct Authority |
United Kingdom
|
20110505
05 May 2011
|
|
No additional comments posted.
|
|
iTaxation Corporation Ltd
|
Financial Conduct Authority |
United Kingdom
|
20110505
05 May 2011
|
|
No additional comments posted.
|
|
Worldwide Risk Consultants
|
Financial Conduct Authority |
United Kingdom
|
20110504
04 May 2011
|
|
No additional comments posted.
|
|
Straighthold Investment Group, Inc.
|
Comissão de Valores Mobiliários |
Brazil
|
20110503
03 May 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
Cartwright Investment Group
|
Financial Conduct Authority |
United Kingdom
|
20110503
03 May 2011
|
|
No additional comments posted.
|
|
Kapital Pool 2010 CP2010 Ltd.
|
Financial Market Authority |
Austria
|
20110503
03 May 2011
|
|
No additional comments posted.
|
|
Liqua Austria & Germany
|
Financial Market Authority |
Austria
|
20110503
03 May 2011
|
|
No additional comments posted.
|
|
Williams Corporation Ltd. (“My Private Trade”)
|
Financial Market Authority |
Austria
|
20110503
03 May 2011
|
|
No additional comments posted.
|
|
Genève Invest
|
Autorité des marchés financiers |
France
|
20110503
03 May 2011
|
|
Please find attached warning issued by the AMF relating to proposals of investment services and financial investments with high rates of return by GENEVE INVEST.
more
|
|
Dynamic Wealth Management
|
Autorité des marchés financiers |
France
|
20110503
03 May 2011
|
|
Please find attached warning issued by the AMF relating to proposals of investment services and financial investments with high rates of return by DYNAMIC WEALTH MANAGEMENT.
more
|
|
International Investor Commission
|
Financial Conduct Authority |
United Kingdom
|
20110503
03 May 2011
|
|
No additional comments posted.
|
|
Macmillan Fine International
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110429
29 Apr 2011
|
|
No additional comments posted.
|
|
Boy Malon 21, S.L. (European Financial Services)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110429
29 Apr 2011
|
|
No additional comments posted.
|
|
Chesterfield Ltd
|
Financial Conduct Authority |
United Kingdom
|
20110428
28 Apr 2011
|
|
No additional comments posted.
|
|
Charles Schwartz International
|
Financial Conduct Authority |
United Kingdom
|
20110428
28 Apr 2011
|
|
No additional comments posted.
|
|
Broompark Investments Ltd
|
Financial Conduct Authority |
United Kingdom
|
20110427
27 Apr 2011
|
|
No additional comments posted.
|
|
Westborough LLC
|
Financial Conduct Authority |
United Kingdom
|
20110427
27 Apr 2011
|
|
No additional comments posted.
|
|
Shaffer Lienhard / Beijing Mercantile Exchange, BEMEX
|
Finansinspektionen |
Sweden
|
20110427
27 Apr 2011
|
|
No additional comments posted.
|
|
Brookes & Associates
|
Financial Conduct Authority |
United Kingdom
|
20110427
27 Apr 2011
|
|
No additional comments posted.
|
|
Connelly Peterson Ltd.
|
Finansinspektionen |
Sweden
|
20110426
26 Apr 2011
|
|
No additional comments posted.
|
|
Securities Trading Commission
|
Financial Conduct Authority |
United Kingdom
|
20110426
26 Apr 2011
|
|
No additional comments posted.
|
|
Greengate Advisors
|
Financial Conduct Authority |
United Kingdom
|
20110426
26 Apr 2011
|
|
No additional comments posted.
|
|
Macintyre Schaffer
|
Financial Conduct Authority |
United Kingdom
|
20110426
26 Apr 2011
|
|
No additional comments posted.
|
|
Pacific Union Corporation
|
Securities and Futures Commission |
Hong Kong
|
20110426
26 Apr 2011
|
|
No additional comments posted.
|
|
Birchall McCallen
|
Securities and Futures Commission |
Hong Kong
|
20110426
26 Apr 2011
|
|
No additional comments posted.
|
|
AAIC Buillion Refinery Gold Co. Limited / ABRG/ ABRG Services Sdn Bhd
|
Securities Commission |
Malaysia
|
20110425
25 Apr 2011
|
|
No additional comments posted.
|
|
Aipost Limited / Aipost
|
Securities Commission |
Malaysia
|
20110425
25 Apr 2011
|
|
No additional comments posted.
|
|
One Autocash
|
Securities Commission |
Malaysia
|
20110425
25 Apr 2011
|
|
No additional comments posted.
|
|
Hogan, Case & Polk
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20110421
21 Apr 2011
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Abberley Capital
|
Financial Conduct Authority |
United Kingdom
|
20110421
21 Apr 2011
|
|
No additional comments posted.
|
|
Distressed Acquisitions Commission
|
Financial Conduct Authority |
United Kingdom
|
20110419
19 Apr 2011
|
|
No additional comments posted.
|
|
TPG Securities
|
Central Bank of Ireland |
Ireland
|
20110419
19 Apr 2011
|
|
TPG Securities is not authorised to provide investment services to persons in Ireland. The firm purports to be based in Switzerland.
|
|
Jefferson Brookes
|
Financial Conduct Authority |
United Kingdom
|
20110418
18 Apr 2011
|
|
No additional comments posted.
|
|
Edgelake Mergers & Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20110418
18 Apr 2011
|
|
No additional comments posted.
|
|
Barvetii Wealth Consultants
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110418
18 Apr 2011
|
|
No additional comments posted.
|
|
Ovannis Capital
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110418
18 Apr 2011
|
|
No additional comments posted.
|
|
La Société de Gestion et d'Intermédiation Boursière du Bénin
|
Conseil du marché financier |
Tunisia
|
20110415
15 Apr 2011
|
|
No additional comments posted.
|
|
New Outlook Management Group
|
Finansinspektionen |
Sweden
|
20110415
15 Apr 2011
|
|
No additional comments posted.
|
|
Wilkinson Bennings Securities
|
Finansinspektionen |
Sweden
|
20110415
15 Apr 2011
|
|
No additional comments posted.
|
|
Commonwealth Alliance Corporation
|
Finansinspektionen |
Sweden
|
20110415
15 Apr 2011
|
|
No additional comments posted.
|
|
Tian Ping
|
Securities Commission |
Malaysia
|
20110415
15 Apr 2011
|
|
No additional comments posted.
|
|
Sphinx Asia Wealth Management
|
Securities Commission |
Malaysia
|
20110415
15 Apr 2011
|
|
No additional comments posted.
|
|
Caspian Investments Limited
|
Gibraltar Financial Services Commission |
Gibraltar
|
20110414
14 Apr 2011
|
|
No additional comments posted.
|
|
Thomas Anderson Advisory
|
Financial Conduct Authority |
United Kingdom
|
20110414
14 Apr 2011
|
|
No additional comments posted.
|
|
Global World Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20110413
13 Apr 2011
|
|
No additional comments posted.
|
|
William Campbell Company
|
Financial Conduct Authority |
United Kingdom
|
20110413
13 Apr 2011
|
|
No additional comments posted.
|
|
Cromwell and Goodwin
|
Financial Conduct Authority |
United Kingdom
|
20110413
13 Apr 2011
|
|
No additional comments posted.
|
|
Madison Advisory Group
|
Financial Conduct Authority |
United Kingdom
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
Weizmann & Young
|
Financial Conduct Authority |
United Kingdom
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
Bolsarentable Asesores Financieros
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
Hamilton House International
|
Financial Conduct Authority |
United Kingdom
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
St. James Wealth
|
Financial Conduct Authority |
United Kingdom
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
Truimph Capital Management
|
Securities and Futures Commission |
Hong Kong
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
Weissman Commodities
|
Securities and Futures Commission |
Hong Kong
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
Sternwood Trading Partners Co Ltd
|
Securities and Futures Commission |
Hong Kong
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
Financial Markets Supervisory Authority of Hong Kong
|
Securities and Futures Commission |
Hong Kong
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
Vantage Capital International
|
Securities and Futures Commission |
Hong Kong
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
Options Extreme
|
Securities and Futures Commission |
Hong Kong
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
Harris James Associates
|
Securities and Futures Commission |
Hong Kong
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
Cooper Company Management
|
Securities and Futures Commission |
Hong Kong
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
Oppenheimer Lloyd Consultants
|
Securities and Futures Commission |
Hong Kong
|
20110412
12 Apr 2011
|
|
No additional comments posted.
|
|
Global Mining Resources
|
Ontario Securities Commission |
Ontario
|
20110411
11 Apr 2011
|
|
Company not registered
|
|
Advance Partners LLC
|
Finansinspektionen |
Sweden
|
20110411
11 Apr 2011
|
|
No additional comments posted.
|
|
Baker & Higgs Asset Management
|
Finansinspektionen |
Sweden
|
20110411
11 Apr 2011
|
|
No additional comments posted.
|
|
Woodward Gordon Capital International
|
Finansinspektionen |
Sweden
|
20110411
11 Apr 2011
|
|
No additional comments posted.
|
|
Bank Sewell & Raydell
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20110411
11 Apr 2011
|
|
No additional comments posted.
|
|
TradeLikeTom
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20110411
11 Apr 2011
|
|
No additional comments posted.
|
|
GLOBAL LIFESTYLE GROUP S.A. (WorldFXClub)
|
Financial Market Authority |
Austria
|
20110407
07 Apr 2011
|
|
No additional comments posted.
|
|
JSM Financial
|
Financial Market Authority |
Austria
|
20110407
07 Apr 2011
|
|
No additional comments posted.
|
|
GMM Equity Holding
|
Financial Conduct Authority |
United Kingdom
|
20110406
06 Apr 2011
|
|
No additional comments posted.
|
|
Starke Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20110406
06 Apr 2011
|
|
No additional comments posted.
|
|
Wolfgang Investment Group
|
Financial Conduct Authority |
United Kingdom
|
20110406
06 Apr 2011
|
|
No additional comments posted.
|
|
Walker Bryan Securities
|
Financial Conduct Authority |
United Kingdom
|
20110406
06 Apr 2011
|
|
No additional comments posted.
|
|
TPG Securities
|
Financial Conduct Authority |
United Kingdom
|
20110406
06 Apr 2011
|
|
No additional comments posted.
|
|
NC Advisory Ltd
|
Financial Conduct Authority |
United Kingdom
|
20110406
06 Apr 2011
|
|
No additional comments posted.
|
|
Black Swan Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20110406
06 Apr 2011
|
|
No additional comments posted.
|
|
Bellfield Internacional España, S.L. (www.bellfield-barna.com)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110405
05 Apr 2011
|
|
No additional comments posted.
|
|
Proyectalia Grupo Empresarial (www.sirentable.com)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110405
05 Apr 2011
|
|
No additional comments posted.
|
|
Parker & Boyd
|
Financial Market Authority |
Austria
|
20110405
05 Apr 2011
|
|
No additional comments posted.
|
|
Rosenthal & Goldberg Associates
|
Financial Market Authority |
Austria
|
20110405
05 Apr 2011
|
|
No additional comments posted.
|
|
Sandford Hale & Co.
|
Financial Market Authority |
Austria
|
20110405
05 Apr 2011
|
|
No additional comments posted.
|
|
Eastman Asset Management
|
Finansinspektionen |
Sweden
|
20110405
05 Apr 2011
|
|
No additional comments posted.
|
|
Alliance Investment Group
|
Financial Conduct Authority |
United Kingdom
|
20110401
01 Apr 2011
|
|
No additional comments posted.
|
|
Intrader Corretora de Mercadorias Ltda.
|
Comissão de Valores Mobiliários |
Brazil
|
20110401
01 Apr 2011
|
|
Link: “Deliberações e atos declaratórios” within the “Proteçao e Educaçao ao Investidor” section. Not authorized by the CVM of Brazil to act as brokerage firms within the securities market. Authorized only to perform autonomous investment agent activ
more
|
|
iFOREX
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: “Deliberações e atos declaratórios” within the “Proteçao e Educaçao ao Investidor” section. Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
Forex Capital Markets
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: “Deliberações e atos declaratórios” within the “Proteçao e Educaçao ao Investidor” section. Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
Forex Macro
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: “Deliberações e atos declaratórios” within the “Proteçao e Educaçao ao Investidor” section. Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
Ava Financial Ltd
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: “Deliberações e atos declaratórios” within the “Proteçao e Educaçao ao Investidor” section. Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
StartForex
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: “Deliberações e atos declaratórios” within the “Proteçao e Educaçao ao Investidor” section. Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
FX Direct Dealer
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: “Deliberações e atos declaratórios” within the “Proteçao e Educaçao ao Investidor” section. Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
Interbank FX
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: “Deliberações e atos declaratórios” within the “Proteçao e Educaçao ao Investidor” section. Entity not authorized to offer investment opportunities in the Forex market by any means (online or other).
|
|
Fxyard Limited
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
ForexWeb Trader Global Investments
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
Finexo Global Investments
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
Online-Place and/or Forex Place
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
RetailFX Limited
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
ActivTrades PLC
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
IFC Markets Corp
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
Companhia Internacional Forex Club e/ou Forex Club International Business Company
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
UFXBank
|
Comissão de Valores Mobiliários |
Brazil
|
20110330
30 Mar 2011
|
|
Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
|
|
Assure.se
|
Finansinspektionen |
Sweden
|
20110329
29 Mar 2011
|
|
No additional comments posted.
|
|
Wells Financial Holdings
|
Securities and Futures Commission |
Hong Kong
|
20110329
29 Mar 2011
|
|
No additional comments posted.
|
|
Antek International
|
Securities and Futures Commission |
Hong Kong
|
20110329
29 Mar 2011
|
|
No additional comments posted.
|
|
Complete Options Trading
|
British Columbia Securities Commission |
British Columbia
|
20110325
25 Mar 2011
|
|
No additional comments posted.
|
|
CDV Investments
|
Financial Conduct Authority |
United Kingdom
|
20110325
25 Mar 2011
|
|
No additional comments posted.
|
|
Global World Acquisitions
|
Securities and Futures Commission |
Hong Kong
|
20110325
25 Mar 2011
|
|
No additional comments posted.
|
|
liqua GbR
|
Financial Market Authority |
Austria
|
20110324
24 Mar 2011
|
|
No additional comments posted.
|
|
Dachser Global Markets
|
Financial Market Authority |
Austria
|
20110324
24 Mar 2011
|
|
No additional comments posted.
|
|
Finicheck PLC
|
Financial Market Authority |
Austria
|
20110324
24 Mar 2011
|
|
No additional comments posted.
|
|
Morgan Finch International
|
Financial Market Authority |
Austria
|
20110324
24 Mar 2011
|
|
No additional comments posted.
|
|
Empresa Minera (Bergbau) AG
|
Financial Market Authority |
Austria
|
20110324
24 Mar 2011
|
|
No additional comments posted.
|
|
New Century Capital
|
Financial Market Authority |
Austria
|
20110324
24 Mar 2011
|
|
No additional comments posted.
|
|
Swiss Group & Partner
|
Financial Market Authority |
Austria
|
20110324
24 Mar 2011
|
|
No additional comments posted.
|
|
Worldwide Finance Marketing Services
|
Financial Market Authority |
Austria
|
20110324
24 Mar 2011
|
|
No additional comments posted.
|
|
Global Hedge Fund Group Ltd.
|
Financial Market Authority |
Austria
|
20110324
24 Mar 2011
|
|
No additional comments posted.
|
|
Moretti Associates
|
Financial Market Authority |
Austria
|
20110324
24 Mar 2011
|
|
No additional comments posted.
|
|
Unique Asset LLC
|
Financial Market Authority |
Austria
|
20110324
24 Mar 2011
|
|
No additional comments posted.
|
|
Hersh Edelman
|
Financial Market Authority |
Austria
|
20110324
24 Mar 2011
|
|
No additional comments posted.
|
|
Skipton Asset Management Limited
|
Securities and Futures Commission |
Hong Kong
|
20110324
24 Mar 2011
|
|
No additional comments posted.
|
|
FINRA
|
Financial Industry Regulatory Authority |
United States of America
|
20110323
23 Mar 2011
|
|
No additional comments posted.
|
|
Harris James Associates
|
Financial Conduct Authority |
United Kingdom
|
20110322
22 Mar 2011
|
|
No additional comments posted.
|
|
Luremo bvba
|
Financial Services and Markets Authority |
Belgium
|
20110322
22 Mar 2011
|
|
No additional comments posted.
|
|
Boesch Haufmann Asset Management Inc.
|
Finansinspektionen |
Sweden
|
20110321
21 Mar 2011
|
|
No additional comments posted.
|
|
Breisach Liebman and Kyoto Mercantile Exchange, KMEX
|
Finansinspektionen |
Sweden
|
20110321
21 Mar 2011
|
|
No additional comments posted.
|
|
Delap Capital Services
|
Finansinspektionen |
Sweden
|
20110321
21 Mar 2011
|
|
No additional comments posted.
|
|
Swiss Corp. International
|
Finansinspektionen |
Sweden
|
20110321
21 Mar 2011
|
|
No additional comments posted.
|
|
Loyal Bank Limited
|
Gibraltar Financial Services Commission |
Gibraltar
|
20110321
21 Mar 2011
|
|
The Financial Services Commission has today issued a warning to the public regarding Loyal Bank Limited.
more
|
|
Sud Internet Services Limited
|
Gibraltar Financial Services Commission |
Gibraltar
|
20110321
21 Mar 2011
|
|
The Financial Services Commission has today issued a warning to the public regarding Sud Internet Services Limited, a company incorporated in Gibraltar.
more
|
|
Mayfair Capital Investments
|
Financial Conduct Authority |
United Kingdom
|
20110318
18 Mar 2011
|
|
No additional comments posted.
|
|
International Board of Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20110318
18 Mar 2011
|
|
No additional comments posted.
|
|
Santander Investment Securities Group
|
Finansinspektionen |
Sweden
|
20110318
18 Mar 2011
|
|
No additional comments posted.
|
|
Prime Acquisitions Group, Inc.
|
Finansinspektionen |
Sweden
|
20110318
18 Mar 2011
|
|
No additional comments posted.
|
|
Syndicated Wealth Group
|
Finansinspektionen |
Sweden
|
20110318
18 Mar 2011
|
|
No additional comments posted.
|
|
Beijing Management Corporation
|
Danish Financial Supervisory Authority |
Denmark
|
20110317
17 Mar 2011
|
|
The Danish Financial Supervisory Authority has been informed that Beijing Management Corporation unsolicited has offered to carry out financial services. The company's address is 25th Floor 12 Jianguomen Wai Avenue, Beijing, 100004, China.
|
|
Global e-Finance Investment Group
|
Securities and Futures Commission |
Hong Kong
|
20110317
17 Mar 2011
|
|
No additional comments posted.
|
|
Rattenbury Group
|
Financial Conduct Authority |
United Kingdom
|
20110316
16 Mar 2011
|
|
No additional comments posted.
|
|
B Gold International LLC
|
Financial Conduct Authority |
United Kingdom
|
20110316
16 Mar 2011
|
|
No additional comments posted.
|
|
Walter Parker Group
|
Financial Conduct Authority |
United Kingdom
|
20110316
16 Mar 2011
|
|
No additional comments posted.
|
|
Cooper Company Management
|
Financial Conduct Authority |
United Kingdom
|
20110316
16 Mar 2011
|
|
No additional comments posted.
|
|
Hypo Venture Capital
|
Financial Conduct Authority |
United Kingdom
|
20110316
16 Mar 2011
|
|
No additional comments posted.
|
|
Windgate Security Management
|
Finansinspektionen |
Sweden
|
20110316
16 Mar 2011
|
|
No additional comments posted.
|
|
Sternwood Business Services
|
Finansinspektionen |
Sweden
|
20110316
16 Mar 2011
|
|
No additional comments posted.
|
|
Rosenthal & Goldberg Associates
|
Finansinspektionen |
Sweden
|
20110316
16 Mar 2011
|
|
No additional comments posted.
|
|
Price Webb Associates
|
Financial Conduct Authority |
United Kingdom
|
20110315
15 Mar 2011
|
|
No additional comments posted.
|
|
Altanus Limited (Swiss Money Report)
|
Autorité des marchés financiers |
France
|
20110315
15 Mar 2011
|
|
Please find attached warning issued by the AMF relating to proposals of investment in foreign listed companies promised high returns by ALTANUS Limited (Swiss Money Report).
|
|
Mathisen Financial
|
Financial Conduct Authority |
United Kingdom
|
20110315
15 Mar 2011
|
|
No additional comments posted.
|
|
Lombard Grand Financials
|
Financial Conduct Authority |
United Kingdom
|
20110314
14 Mar 2011
|
|
No additional comments posted.
|
|
Independent Private Consultants
|
Financial Conduct Authority |
United Kingdom
|
20110314
14 Mar 2011
|
|
No additional comments posted.
|
|
Allianz Global Investors Fund
|
Financial Conduct Authority |
United Kingdom
|
20110311
11 Mar 2011
|
|
No additional comments posted.
|
|
Abbotts Investment Group
|
Financial Conduct Authority |
United Kingdom
|
20110310
10 Mar 2011
|
|
No additional comments posted.
|
|
Rayburn Watson and Associates
|
Financial Conduct Authority |
United Kingdom
|
20110310
10 Mar 2011
|
|
No additional comments posted.
|
|
Occidental Capital Partners
|
Financial Conduct Authority |
United Kingdom
|
20110310
10 Mar 2011
|
|
No additional comments posted.
|
|
FINRA
|
Financial Industry Regulatory Authority |
United States of America
|
20110310
10 Mar 2011
|
|
No additional comments posted.
|
|
FINRA
|
Financial Industry Regulatory Authority |
United States of America
|
20110310
10 Mar 2011
|
|
No additional comments posted.
|
|
FINRA
|
Financial Industry Regulatory Authority |
United States of America
|
20110310
10 Mar 2011
|
|
No additional comments posted.
|
|
FINRA
|
Financial Industry Regulatory Authority |
United States of America
|
20110310
10 Mar 2011
|
|
No additional comments posted.
|
|
William Smith and Company
|
Financial Conduct Authority |
United Kingdom
|
20110310
10 Mar 2011
|
|
No additional comments posted.
|
|
Lexington Direct
|
Financial Conduct Authority |
United Kingdom
|
20110310
10 Mar 2011
|
|
No additional comments posted.
|
|
The Asian Financial Services Authority
|
Securities and Futures Commission |
Hong Kong
|
20110310
10 Mar 2011
|
|
No additional comments posted.
|
|
Hong Kong Finance
|
Securities and Futures Commission |
Hong Kong
|
20110310
10 Mar 2011
|
|
No additional comments posted.
|
|
Moretti Associates
|
Danish Financial Supervisory Authority |
Denmark
|
20110310
10 Mar 2011
|
|
The Danish Financial Supervisory Authority has been informed that Moretti Associates unsolicited has offered to carry out financial services. The company's address is Via Privata Senigallia, 18, 20161 Milano, Italy.
|
|
JD Trading Inc.
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20110308
08 Mar 2011
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Pacific Energy Exchange
|
Securities and Futures Commission |
Hong Kong
|
20110308
08 Mar 2011
|
|
No additional comments posted.
|
|
Guardian International
|
Financial Conduct Authority |
United Kingdom
|
20110307
07 Mar 2011
|
|
No additional comments posted.
|
|
Bluegate Commodity Ventures
|
Financial Conduct Authority |
United Kingdom
|
20110307
07 Mar 2011
|
|
No additional comments posted.
|
|
Pederson Brown Associates
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20110307
07 Mar 2011
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Campbell Massey Asset Management
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20110307
07 Mar 2011
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Kentor Asset Management
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20110307
07 Mar 2011
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Groenbelang
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20110307
07 Mar 2011
|
|
The warning list contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM licence or a E
more
|
|
Investec Fund Managers
|
Financial Conduct Authority |
United Kingdom
|
20110307
07 Mar 2011
|
|
No additional comments posted.
|
|
Quantum Market Advisors
|
British Columbia Securities Commission |
British Columbia
|
20110304
04 Mar 2011
|
|
No additional comments posted.
|
|
Occidental Capital Partners S.A.
|
British Columbia Securities Commission |
British Columbia
|
20110304
04 Mar 2011
|
|
No additional comments posted.
|
|
Douglas Charles
|
British Columbia Securities Commission |
British Columbia
|
20110304
04 Mar 2011
|
|
No additional comments posted.
|
|
Ideal Merger Group
|
Financial Conduct Authority |
United Kingdom
|
20110304
04 Mar 2011
|
|
No additional comments posted.
|
|
Bryant Shaw LLC
|
Financial Conduct Authority |
United Kingdom
|
20110304
04 Mar 2011
|
|
No additional comments posted.
|
|
Global Equity Partners/GE Partners
|
Financial Conduct Authority |
United Kingdom
|
20110304
04 Mar 2011
|
|
No additional comments posted.
|
|
Marble Art Invest
|
Autorité des marchés financiers |
France
|
20110303
03 Mar 2011
|
|
No additional comments posted.
|
|
UTC International Services
|
Financial Conduct Authority |
United Kingdom
|
20110302
02 Mar 2011
|
|
No additional comments posted.
|
|
Steiner Haus Capital
|
Financial Conduct Authority |
United Kingdom
|
20110302
02 Mar 2011
|
|
No additional comments posted.
|
|
Standard Hokori Group
|
Financial Conduct Authority |
United Kingdom
|
20110302
02 Mar 2011
|
|
No additional comments posted.
|
|
B Gold International LLC also known as BGOLDS
|
Danish Financial Supervisory Authority |
Denmark
|
20110302
02 Mar 2011
|
|
The Danish Financial Supervisory Authority has been informed that B Gold International LLC/ BGOLDS unsolicited has offered to carry out financial services. The company's address is 13911 W Hillsborough Ave, Office 112, Tampa Fl 33635, USA.
|
|
Sandford Hale & Co.
|
Danish Financial Supervisory Authority |
Denmark
|
20110302
02 Mar 2011
|
|
The Danish Financial Supervisory Authority has been informed that Sandford Hale & Co. unsolicited has offered to carry out financial services. The company's address is 80 Broad Street, 22-25 Floors, New York, NY 10004, USA.
|
|
Diversified Portfolio Management Invest
|
Financial Conduct Authority |
United Kingdom
|
20110301
01 Mar 2011
|
|
No additional comments posted.
|
|
INVESTORS TRUST ASSURANCE SPC
|
Comissão de Valores Mobiliários |
Brazil
|
20110228
28 Feb 2011
|
|
Not authorized by the CVM of Brazil to perform any activities within the securities market. Not authorized to constitute or manage investment funds/investment clubs or any other type of securities investment.
|
|
American Taxation
|
Financial Conduct Authority |
United Kingdom
|
20110228
28 Feb 2011
|
|
No additional comments posted.
|
|
Invest Direct Group
|
Financial Conduct Authority |
United Kingdom
|
20110228
28 Feb 2011
|
|
No additional comments posted.
|
|
Alan Woods
|
Financial Conduct Authority |
United Kingdom
|
20110228
28 Feb 2011
|
|
No additional comments posted.
|
|
Inter-Citi Capital
|
Financial Conduct Authority |
United Kingdom
|
20110228
28 Feb 2011
|
|
No additional comments posted.
|
|
Trinity Options and Futures Group
|
Financial Conduct Authority |
United Kingdom
|
20110228
28 Feb 2011
|
|
No additional comments posted.
|
|
Hoxton Associates
|
Financial Conduct Authority |
United Kingdom
|
20110228
28 Feb 2011
|
|
No additional comments posted.
|
|
Anderson Goldstein
|
Financial Conduct Authority |
United Kingdom
|
20110228
28 Feb 2011
|
|
No additional comments posted.
|
|
Integrated Investment Group
|
Financial Conduct Authority |
United Kingdom
|
20110228
28 Feb 2011
|
|
No additional comments posted.
|
|
Black Rose Financial
|
Financial Conduct Authority |
United Kingdom
|
20110225
25 Feb 2011
|
|
No additional comments posted.
|
|
Summit Holdings
|
Financial Conduct Authority |
United Kingdom
|
20110225
25 Feb 2011
|
|
No additional comments posted.
|
|
New Waterford Ltd
|
Financial Conduct Authority |
United Kingdom
|
20110225
25 Feb 2011
|
|
No additional comments posted.
|
|
Brooks and Hawthorne Consulting Ltd
|
Financial Conduct Authority |
United Kingdom
|
20110225
25 Feb 2011
|
|
No additional comments posted.
|
|
Virtual Trade. Inc™
|
Finansinspektionen |
Sweden
|
20110225
25 Feb 2011
|
|
No additional comments posted.
|
|
Edgelake M&A
|
Finansinspektionen |
Sweden
|
20110225
25 Feb 2011
|
|
No additional comments posted.
|
|
Standard Hokori Group
|
Finansinspektionen |
Sweden
|
20110225
25 Feb 2011
|
|
No additional comments posted.
|
|
Travel Rule, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110223
23 Feb 2011
|
|
No additional comments posted.
|
|
Trading Bolsa, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110223
23 Feb 2011
|
|
No additional comments posted.
|
|
Información Qualificada Bolsa, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110223
23 Feb 2011
|
|
No additional comments posted.
|
|
Iberia Securities
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110223
23 Feb 2011
|
|
No additional comments posted.
|
|
Dealers Quality Consulting, S.L. (www.dealers.com.es)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110223
23 Feb 2011
|
|
No additional comments posted.
|
|
Close On, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110223
23 Feb 2011
|
|
No additional comments posted.
|
|
Barbell Duh, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20110223
23 Feb 2011
|
|
No additional comments posted.
|
|
Centex Resources
|
Financial Conduct Authority |
United Kingdom
|
20110222
22 Feb 2011
|
|
No additional comments posted.
|
|
Orion International Trading
|
Financial Conduct Authority |
United Kingdom
|
20110221
21 Feb 2011
|
|
No additional comments posted.
|
|
Stanton Goldstein
|
Financial Conduct Authority |
United Kingdom
|
20110221
21 Feb 2011
|
|
No additional comments posted.
|
|
Berrscott, Elliott & Associates
|
Financial Conduct Authority |
United Kingdom
|
20110221
21 Feb 2011
|
|
No additional comments posted.
|
|
Axis Corporate Finance
|
Financial Conduct Authority |
United Kingdom
|
20110221
21 Feb 2011
|
|
No additional comments posted.
|
|
ABC Finance
|
Financial Conduct Authority |
United Kingdom
|
20110221
21 Feb 2011
|
|
No additional comments posted.
|
|
M S Global
|
Financial Conduct Authority |
United Kingdom
|
20110221
21 Feb 2011
|
|
No additional comments posted.
|
|
Asset Trust Management
|
Financial Conduct Authority |
United Kingdom
|
20110221
21 Feb 2011
|
|
No additional comments posted.
|
|
Ideal Merger Group
|
Finansinspektionen |
Sweden
|
20110221
21 Feb 2011
|
|
Ideal Merger Group’s representatives also refer to a false authority using the name WSA World Securities Authority.
|
|
Advance Fee Fraud / Bogus Employee
|
Isle of Man Financial Services Authority |
Isle of Man
|
20110221
21 Feb 2011
|
|
Individual falsely purporting to be an employee of the genuine Irish Nationwide (I.O.M.) Limited
|
|
www.zurich-bnk.com
|
Isle of Man Financial Services Authority |
Isle of Man
|
20110218
18 Feb 2011
|
|
Bogus website www.zurich-bnk.com purporting to be genuine Zurich Bank International Limited
|
|
Vantage Equity International Ltd
|
Financial Supervisory Commission |
Chinese Taipei
|
20110217
17 Feb 2011
|
|
Vantage Equity International Ltd. claims to be a brokerage firm with offices at Taipei 101 Tower, level 37, 7Xinyi Road, Section 5, Taipei, Taiwan. Our records show that Vantage Equity International Ltd. has neither a license in Chinese Taipei to con
more
|
|
Twynham Corp.
|
Ontario Securities Commission |
Ontario
|
20110214
14 Feb 2011
|
|
Company not registered
|
|
Brunel Asset Management
|
Ontario Securities Commission |
Ontario
|
20110214
14 Feb 2011
|
|
Company not registered
|
|
John Windsor and Associates
|
Financial Conduct Authority |
United Kingdom
|
20110214
14 Feb 2011
|
|
No additional comments posted.
|
|
Hartmann and Partners
|
Securities and Futures Commission |
Hong Kong
|
20110214
14 Feb 2011
|
|
No additional comments posted.
|
|
Continental Trade
|
Securities and Futures Commission |
Hong Kong
|
20110214
14 Feb 2011
|
|
No additional comments posted.
|
|
Price and Stone Mergers & Acquisitions
|
Securities and Futures Commission |
Hong Kong
|
20110214
14 Feb 2011
|
|
No additional comments posted.
|
|
International Securities Registry
|
Securities and Futures Commission |
Hong Kong
|
20110214
14 Feb 2011
|
|
No additional comments posted.
|
|
Assets International S.A DE C.V
|
Securities and Futures Commission |
Hong Kong
|
20110214
14 Feb 2011
|
|
No additional comments posted.
|
|
Bryant Shaw LLC
|
Securities and Futures Commission |
Hong Kong
|
20110214
14 Feb 2011
|
|
No additional comments posted.
|
|
Sun Bank Offshore Jersey (Channel Islands)
|
Jersey Financial Services Commission |
Jersey
|
20110211
11 Feb 2011
|
|
No additional comments posted.
|
|
The Bank Street Securities/TBS Securities
|
Central Bank of Ireland |
Ireland
|
20110211
11 Feb 2011
|
|
The Bank Street Securities/TBS Securities is not authorised to provide investment services to persons in Ireland. The firm purports to be based in the United Kingdom.
|
|
Williams Corporation Limited
|
Securities and Futures Commission |
Hong Kong
|
20110211
11 Feb 2011
|
|
No additional comments posted.
|
|
Jacobson Group
|
Financial Conduct Authority |
United Kingdom
|
20110209
09 Feb 2011
|
|
No additional comments posted.
|
|
Sidstone, Gray & Partners
|
Financial Conduct Authority |
United Kingdom
|
20110209
09 Feb 2011
|
|
No additional comments posted.
|
|
RBEF Limited
|
Financial Conduct Authority |
United Kingdom
|
20110208
08 Feb 2011
|
|
No additional comments posted.
|
|
International Stock Transfer Administration
|
Financial Conduct Authority |
United Kingdom
|
20110208
08 Feb 2011
|
|
No additional comments posted.
|
|
Optis Group LLC
|
Financial Conduct Authority |
United Kingdom
|
20110208
08 Feb 2011
|
|
No additional comments posted.
|
|
Mr Insurance
|
Gibraltar Financial Services Commission |
Gibraltar
|
20110208
08 Feb 2011
|
|
The Financial Services Commission has today issued a warning to the public regarding “Mr Insurance”.
more
|
|
Vaughan Equities, LLC.
|
Finansinspektionen |
Sweden
|
20110207
07 Feb 2011
|
|
No additional comments posted.
|
|
Rattenbury Group
|
Finansinspektionen |
Sweden
|
20110204
04 Feb 2011
|
|
No additional comments posted.
|
|
Global Quest Consultancy Services, Inc
|
Finansinspektionen |
Sweden
|
20110204
04 Feb 2011
|
|
No additional comments posted.
|
|
Hardwicke Advisory
|
Financial Conduct Authority |
United Kingdom
|
20110203
03 Feb 2011
|
|
No additional comments posted.
|
|
Energy Group International
|
Financial Conduct Authority |
United Kingdom
|
20110203
03 Feb 2011
|
|
No additional comments posted.
|
|
Vantage Equity
|
Financial Conduct Authority |
United Kingdom
|
20110203
03 Feb 2011
|
|
No additional comments posted.
|
|
Douglas Charles
|
Ontario Securities Commission |
Ontario
|
20110201
01 Feb 2011
|
|
Company not registered
|
|
Impact Finance
|
Ontario Securities Commission |
Ontario
|
20110201
01 Feb 2011
|
|
Company not registered
|
|
New Century International S.A
|
Ontario Securities Commission |
Ontario
|
20110201
01 Feb 2011
|
|
Company not registered
|
|
Black Rose Financial
|
Finansinspektionen |
Sweden
|
20110201
01 Feb 2011
|
|
No additional comments posted.
|
|
Hersh Edelman
|
Finansinspektionen |
Sweden
|
20110201
01 Feb 2011
|
|
No additional comments posted.
|
|
Wheeler Asset Group
|
Finansinspektionen |
Sweden
|
20110201
01 Feb 2011
|
|
No additional comments posted.
|
|
MAT & NET, Consultoria Financeira e Internet, Lda
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20110131
31 Jan 2011
|
|
No additional comments posted.
|
|
Zavareh Equity Group Inc.
|
Ontario Securities Commission |
Ontario
|
20110127
27 Jan 2011
|
|
Company not registered
|
|
Pan Gen Global
|
Ontario Securities Commission |
Ontario
|
20110127
27 Jan 2011
|
|
Company not registered
|
|
Rooney Gallagher Private Equity Partners
|
Financial Conduct Authority |
United Kingdom
|
20110127
27 Jan 2011
|
|
No additional comments posted.
|
|
Hardcastle
|
Financial Conduct Authority |
United Kingdom
|
20110127
27 Jan 2011
|
|
No additional comments posted.
|
|
Wentworth and Gerrard International Capital
|
Financial Conduct Authority |
United Kingdom
|
20110127
27 Jan 2011
|
|
No additional comments posted.
|
|
Green Tree Financial Advisors
|
Financial Conduct Authority |
United Kingdom
|
20110127
27 Jan 2011
|
|
No additional comments posted.
|
|
Persis International Investment Hong Kong Limited
|
Securities and Futures Commission |
Hong Kong
|
20110126
26 Jan 2011
|
|
No additional comments posted.
|
|
Everbrighter Financial Limited
|
Financial Conduct Authority |
United Kingdom
|
20110125
25 Jan 2011
|
|
No additional comments posted.
|
|
Vivant Financial S.A.
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20110124
24 Jan 2011
|
|
No additional comments posted.
|
|
PGS Limited
|
Financial Conduct Authority |
United Kingdom
|
20110124
24 Jan 2011
|
|
No additional comments posted.
|
|
Garrett Hopkins Associates
|
Financial Conduct Authority |
United Kingdom
|
20110124
24 Jan 2011
|
|
No additional comments posted.
|
|
Declan and Ross
|
Financial Conduct Authority |
United Kingdom
|
20110124
24 Jan 2011
|
|
No additional comments posted.
|
|
Kirkland Gray Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20110124
24 Jan 2011
|
|
No additional comments posted.
|
|
Smith Capital
|
Financial Conduct Authority |
United Kingdom
|
20110124
24 Jan 2011
|
|
No additional comments posted.
|
|
Thompson Cartwright Group
|
Financial Conduct Authority |
United Kingdom
|
20110124
24 Jan 2011
|
|
No additional comments posted.
|
|
Kyodo Securities
|
Finansinspektionen |
Sweden
|
20110121
21 Jan 2011
|
|
No additional comments posted.
|
|
Windcrest Management Solution, Ltd.
|
Finansinspektionen |
Sweden
|
20110121
21 Jan 2011
|
|
No additional comments posted.
|
|
Western Global Capital Management
|
Finansinspektionen |
Sweden
|
20110120
20 Jan 2011
|
|
No additional comments posted.
|
|
Guardian International Ltd.
|
Finansinspektionen |
Sweden
|
20110117
17 Jan 2011
|
|
No additional comments posted.
|
|
Reclaim Investment Bank, Gibraltar /'Cashback Investment Bank, Gibraltar
|
Gibraltar Financial Services Commission |
Gibraltar
|
20110117
17 Jan 2011
|
|
The Financial Services Commission has today issued a warning to the public regarding 'Reclaim Investment Bank, Gibraltar' and 'Cashback Investment Bank, Gibraltar'.
more
|
|
Henderson Global Funds
|
Financial Conduct Authority |
United Kingdom
|
20110113
13 Jan 2011
|
|
No additional comments posted.
|
|
Jez Capital
|
Financial Conduct Authority |
United Kingdom
|
20110113
13 Jan 2011
|
|
No additional comments posted.
|
|
Benson Hill Advisors
|
Financial Conduct Authority |
United Kingdom
|
20110111
11 Jan 2011
|
|
No additional comments posted.
|
|
RDLynch Trader/Harmony Ventures
|
Financial Conduct Authority |
United Kingdom
|
20110111
11 Jan 2011
|
|
No additional comments posted.
|
|
Rothman Securities Inc.
|
Financial Conduct Authority |
United Kingdom
|
20110111
11 Jan 2011
|
|
No additional comments posted.
|
|
Churchill Management
|
Financial Conduct Authority |
United Kingdom
|
20110110
10 Jan 2011
|
|
No additional comments posted.
|
|
Academia Internacional de Trading Cursos e Palestras Ltda.
|
Comissão de Valores Mobiliários |
Brazil
|
20110110
10 Jan 2011
|
|
Link: "Atos Declaratorios"
more
|
|
CATUNDA BRASILEIRO ASSESSORIA E ADMINISTRAÇÃO LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20110110
10 Jan 2011
|
|
Link: "Atos Declaratorios"
more
|
|
Forex Place LTD
|
Comissão do Mercado de Valores Mobiliários |
Portugal
|
20110106
06 Jan 2011
|
|
No additional comments posted.
|
|
Douglas Charles (DC)
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20110106
06 Jan 2011
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Masters Financial Corporation
|
Financial Conduct Authority |
United Kingdom
|
20110105
05 Jan 2011
|
|
No additional comments posted.
|
|
JL Securities
|
Financial Conduct Authority |
United Kingdom
|
20110105
05 Jan 2011
|
|
No additional comments posted.
|
|
Tudor Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20110105
05 Jan 2011
|
|
No additional comments posted.
|
|
Patterson and Klein
|
Financial Conduct Authority |
United Kingdom
|
20110105
05 Jan 2011
|
|
No additional comments posted.
|
|
Shenzhen International Group
|
Securities and Futures Commission |
Hong Kong
|
20110103
03 Jan 2011
|
|
No additional comments posted.
|
|
East-Tech Trading
|
Securities and Futures Commission |
Hong Kong
|
20110103
03 Jan 2011
|
|
No additional comments posted.
|
|
Dividium Asia Limited
|
Securities and Futures Commission |
Hong Kong
|
20110103
03 Jan 2011
|
|
No additional comments posted.
|
|
Tramita Funds
|
Comisión Nacional del Mercado de Valores |
Spain
|
20101228
28 Dec 2010
|
|
No additional comments posted.
|
|
Geoffroy CATHERINE
|
Financial Services and Markets Authority |
Belgium
|
20101227
27 Dec 2010
|
|
No additional comments posted.
|
|
Weatherstone Capital Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20101223
23 Dec 2010
|
|
Advisory Warning
|
|
European Finance Services
|
Jersey Financial Services Commission |
Jersey
|
20101223
23 Dec 2010
|
|
No additional comments posted.
|
|
Cardiff Securities International
|
Isle of Man Financial Services Authority |
Isle of Man
|
20101222
22 Dec 2010
|
|
Cardiff Securities International
more
|
|
Rooney Gallagher Private Equity Partners LLC
|
Central Bank of Ireland |
Ireland
|
20101222
22 Dec 2010
|
|
Rooney Gallagher Private Equity Partners LLC is not authorised by the Central Bank of Ireland to provide investment services. The firm purports to be based in Ireland and Hong Kong
|
|
Mary Patrick Financial Loan Firm - Diana Financial Loan
|
Isle of Man Financial Services Authority |
Isle of Man
|
20101222
22 Dec 2010
|
|
Mary Patrick Financial Loan Firm
more
|
|
Royal Forex Trading Ltd.
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20101221
21 Dec 2010
|
|
Advisory Warning
|
|
USAFX Online
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20101221
21 Dec 2010
|
|
Advisory Warning
|
|
Tortola Capital
|
British Virgin Islands Financial Services Commission |
British Virgin Islands
|
20101221
21 Dec 2010
|
|
Advisory Warning
|
|
Summit Holdings
|
Finansinspektionen |
Sweden
|
20101221
21 Dec 2010
|
|
No additional comments posted.
|
|
Lombard Grand Financials
|
Finansinspektionen |
Sweden
|
20101221
21 Dec 2010
|
|
No additional comments posted.
|
|
Everest Asset Management
|
Finansinspektionen |
Sweden
|
20101221
21 Dec 2010
|
|
No additional comments posted.
|
|
Source One International
|
Securities and Futures Commission |
Hong Kong
|
20101221
21 Dec 2010
|
|
No additional comments posted.
|
|
Prime Solutions, Inc.
|
Finansinspektionen |
Sweden
|
20101217
17 Dec 2010
|
|
No additional comments posted.
|
|
Hypo Venture Capital
|
Finansinspektionen |
Sweden
|
20101217
17 Dec 2010
|
|
No additional comments posted.
|
|
Guardian Creative Tax Planners
|
Finansinspektionen |
Sweden
|
20101217
17 Dec 2010
|
|
No additional comments posted.
|
|
The LML Group Richmond & Associates Inc.
|
Securities and Futures Commission |
Hong Kong
|
20101217
17 Dec 2010
|
|
No additional comments posted.
|
|
Bright Accord Investments Limited
|
Securities and Futures Commission |
Hong Kong
|
20101217
17 Dec 2010
|
|
No additional comments posted.
|
|
Norwich Group
|
Securities and Futures Commission |
Hong Kong
|
20101217
17 Dec 2010
|
|
No additional comments posted.
|
|
Asia Ventures Limited
|
Securities and Futures Commission |
Hong Kong
|
20101217
17 Dec 2010
|
|
No additional comments posted.
|
|
Barvetti Wealth Consultants
|
Financial Services and Markets Authority |
Belgium
|
20101216
16 Dec 2010
|
|
No additional comments posted.
|
|
IDA Consultancy
|
Financial Conduct Authority |
United Kingdom
|
20101216
16 Dec 2010
|
|
No additional comments posted.
|
|
Cooper and Finley
|
Financial Conduct Authority |
United Kingdom
|
20101216
16 Dec 2010
|
|
No additional comments posted.
|
|
Sino Trading
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20101214
14 Dec 2010
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Erwin Lloyd A.G.
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20101214
14 Dec 2010
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Forex transactions via CfDs and FX Forwards
|
Autorité des marchés financiers |
France
|
20101214
14 Dec 2010
|
|
No additional comments posted.
|
|
Skipton Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20101213
13 Dec 2010
|
|
No additional comments posted.
|
|
Chesterfield Credit Union
|
Financial Conduct Authority |
United Kingdom
|
20101210
10 Dec 2010
|
|
No additional comments posted.
|
|
Shenzhen International Group
|
Financial Conduct Authority |
United Kingdom
|
20101210
10 Dec 2010
|
|
No additional comments posted.
|
|
Swiftsure Securities Ltd.
|
British Columbia Securities Commission |
British Columbia
|
20101209
09 Dec 2010
|
|
No additional comments posted.
|
|
Intertrade Investment
|
Financial Conduct Authority |
United Kingdom
|
20101209
09 Dec 2010
|
|
No additional comments posted.
|
|
Cornish, Willoughby and Associates
|
Financial Conduct Authority |
United Kingdom
|
20101208
08 Dec 2010
|
|
No additional comments posted.
|
|
Transatlantic Alliance
|
Financial Conduct Authority |
United Kingdom
|
20101208
08 Dec 2010
|
|
No additional comments posted.
|
|
Manhattan Acquisition Corp
|
Financial Conduct Authority |
United Kingdom
|
20101203
03 Dec 2010
|
|
No additional comments posted.
|
|
Duvel Group of Canada
|
British Columbia Securities Commission |
British Columbia
|
20101203
03 Dec 2010
|
|
No additional comments posted.
|
|
West Golden Capital
|
British Columbia Securities Commission |
British Columbia
|
20101203
03 Dec 2010
|
|
No additional comments posted.
|
|
Wiltshire Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20101203
03 Dec 2010
|
|
No additional comments posted.
|
|
Altanus Limited
|
Financial Services and Markets Authority |
Belgium
|
20101203
03 Dec 2010
|
|
warning Altanus Limited
|
|
Hartmann & Partners
|
Financial Conduct Authority |
United Kingdom
|
20101130
30 Nov 2010
|
|
No additional comments posted.
|
|
McMillen Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20101130
30 Nov 2010
|
|
No additional comments posted.
|
|
Dynamic Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20101129
29 Nov 2010
|
|
No additional comments posted.
|
|
Diversified Capital
|
Securities and Futures Commission |
Hong Kong
|
20101129
29 Nov 2010
|
|
No additional comments posted.
|
|
Fisher Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20101126
26 Nov 2010
|
|
No additional comments posted.
|
|
Geller Associates
|
Financial Conduct Authority |
United Kingdom
|
20101126
26 Nov 2010
|
|
No additional comments posted.
|
|
Berkshire Stanley
|
Securities and Futures Commission |
Hong Kong
|
20101125
25 Nov 2010
|
|
No additional comments posted.
|
|
Sovereign International
|
Securities and Futures Commission |
Hong Kong
|
20101125
25 Nov 2010
|
|
No additional comments posted.
|
|
(International) Corporate Services Limited
|
Gibraltar Financial Services Commission |
Gibraltar
|
20101124
24 Nov 2010
|
|
(International) Corporate Services Limited
more
|
|
Bluestar Management
|
Comisión Nacional del Mercado de Valores |
Spain
|
20101122
22 Nov 2010
|
|
No additional comments posted.
|
|
CIAR Investment Corp.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20101122
22 Nov 2010
|
|
No additional comments posted.
|
|
Club de Inversion de Alto Rendimiento (CIAR)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20101122
22 Nov 2010
|
|
No additional comments posted.
|
|
American Taxation Incorporated
|
Finansinspektionen |
Sweden
|
20101122
22 Nov 2010
|
|
No additional comments posted.
|
|
Securities Administration
|
Financial Conduct Authority |
United Kingdom
|
20101118
18 Nov 2010
|
|
No additional comments posted.
|
|
Ehrman-Loeb
|
Securities and Futures Commission |
Hong Kong
|
20101118
18 Nov 2010
|
|
No additional comments posted.
|
|
Delta Continental
|
Securities and Futures Commission |
Hong Kong
|
20101118
18 Nov 2010
|
|
No additional comments posted.
|
|
Eurasia Trade
|
Securities and Futures Commission |
Hong Kong
|
20101118
18 Nov 2010
|
|
No additional comments posted.
|
|
Omega Trading
|
Securities and Futures Commission |
Hong Kong
|
20101118
18 Nov 2010
|
|
No additional comments posted.
|
|
West Golden Capital
|
Financial Conduct Authority |
United Kingdom
|
20101117
17 Nov 2010
|
|
No additional comments posted.
|
|
Houston Research Group
|
Financial Conduct Authority |
United Kingdom
|
20101112
12 Nov 2010
|
|
No additional comments posted.
|
|
Brooks & Hawthorne Consulting Ltd.
|
Finansinspektionen |
Sweden
|
20101112
12 Nov 2010
|
|
No additional comments posted.
|
|
Graham Walker
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20101112
12 Nov 2010
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Benson Hill Advisors
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20101112
12 Nov 2010
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Templegate Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20101112
12 Nov 2010
|
|
No additional comments posted.
|
|
CMI Trading Group
|
Finansinspektionen |
Sweden
|
20101111
11 Nov 2010
|
|
No additional comments posted.
|
|
Prime Group of Companies
|
Finansinspektionen |
Sweden
|
20101111
11 Nov 2010
|
|
No additional comments posted.
|
|
CRH Management
|
British Columbia Securities Commission |
British Columbia
|
20101110
10 Nov 2010
|
|
No additional comments posted.
|
|
Featherstone and Bellman Equity Exchange Group
|
British Columbia Securities Commission |
British Columbia
|
20101110
10 Nov 2010
|
|
No additional comments posted.
|
|
Pan-Am Advisory
|
British Columbia Securities Commission |
British Columbia
|
20101110
10 Nov 2010
|
|
No additional comments posted.
|
|
Red Enterprise
|
Financial Conduct Authority |
United Kingdom
|
20101110
10 Nov 2010
|
|
No additional comments posted.
|
|
Antek International
|
Finansinspektionen |
Sweden
|
20101110
10 Nov 2010
|
|
No additional comments posted.
|
|
Campbell Cummings Associates
|
Finansinspektionen |
Sweden
|
20101110
10 Nov 2010
|
|
No additional comments posted.
|
|
Greentree Financial Advisors Inc.
|
Finansinspektionen |
Sweden
|
20101110
10 Nov 2010
|
|
No additional comments posted.
|
|
Northern Pegasus LLC.
|
Finansinspektionen |
Sweden
|
20101110
10 Nov 2010
|
|
No additional comments posted.
|
|
Strategic Private Equity Group
|
Finansinspektionen |
Sweden
|
20101110
10 Nov 2010
|
|
No additional comments posted.
|
|
Chelsea Management Group Inc
|
Financial Conduct Authority |
United Kingdom
|
20101110
10 Nov 2010
|
|
No additional comments posted.
|
|
Forex Global FX
|
Comisión Nacional del Mercado de Valores |
Spain
|
20101108
08 Nov 2010
|
|
No additional comments posted.
|
|
Consultrading Solutions Group
|
Comisión Nacional del Mercado de Valores |
Spain
|
20101108
08 Nov 2010
|
|
No additional comments posted.
|
|
Whitestone Financial Planning AG
|
Finansinspektionen |
Sweden
|
20101108
08 Nov 2010
|
|
No additional comments posted.
|
|
Penfold & Partners Ltd.
|
Finansinspektionen |
Sweden
|
20101108
08 Nov 2010
|
|
No additional comments posted.
|
|
Millennium Equity Management
|
Finansinspektionen |
Sweden
|
20101108
08 Nov 2010
|
|
No additional comments posted.
|
|
Adderley Davis & Associates Ltd.
|
Finansinspektionen |
Sweden
|
20101108
08 Nov 2010
|
|
No additional comments posted.
|
|
International Escrow Services
|
Financial Conduct Authority |
United Kingdom
|
20101105
05 Nov 2010
|
|
No additional comments posted.
|
|
Stanley Capital Group Mergers and Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20101105
05 Nov 2010
|
|
No additional comments posted.
|
|
Brunel Asset Management
|
Financial Conduct Authority |
United Kingdom
|
20101104
04 Nov 2010
|
|
No additional comments posted.
|
|
Energy Development Global Limited
|
Financial Conduct Authority |
United Kingdom
|
20101104
04 Nov 2010
|
|
No additional comments posted.
|
|
Baros and Ronaldo Associates
|
Financial Conduct Authority |
United Kingdom
|
20101103
03 Nov 2010
|
|
No additional comments posted.
|
|
Goldmann Imperial Capital
|
Finansinspektionen |
Sweden
|
20101103
03 Nov 2010
|
|
No additional comments posted.
|
|
Institutional Equity Partners
|
Finansinspektionen |
Sweden
|
20101103
03 Nov 2010
|
|
No additional comments posted.
|
|
Ehrman-Loeb
|
Finansinspektionen |
Sweden
|
20101103
03 Nov 2010
|
|
No additional comments posted.
|
|
Gruenberg Partners
|
Financial Conduct Authority |
United Kingdom
|
20101103
03 Nov 2010
|
|
No additional comments posted.
|
|
Donnelly Aberdeen International
|
Finansinspektionen |
Sweden
|
20101102
02 Nov 2010
|
|
No additional comments posted.
|
|
Crown Global Assets Ltd.
|
Finansinspektionen |
Sweden
|
20101102
02 Nov 2010
|
|
No additional comments posted.
|
|
Accrescent Holdings Incorporated
|
Finansinspektionen |
Sweden
|
20101102
02 Nov 2010
|
|
No additional comments posted.
|
|
Mark Bael Risk Management and Legal Services
|
Financial Conduct Authority |
United Kingdom
|
20101029
29 Oct 2010
|
|
No additional comments posted.
|
|
Geminus Partners
|
Financial Conduct Authority |
United Kingdom
|
20101028
28 Oct 2010
|
|
No additional comments posted.
|
|
Capital Shipping
|
Financial Conduct Authority |
United Kingdom
|
20101028
28 Oct 2010
|
|
No additional comments posted.
|
|
Fake CSSF website
|
Commission de Surveillance du Secteur Financier |
Luxembourg
|
20101027
27 Oct 2010
|
|
No additional comments posted.
|
|
Legg and Berman Acquisitions Management
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20101027
27 Oct 2010
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
VantagePro Asset Management
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20101027
27 Oct 2010
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
CRH Management Group
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20101027
27 Oct 2010
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Montgomery Glover Associates
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20101027
27 Oct 2010
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Dragon Partners Inc /Asia Dragon Group
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20101027
27 Oct 2010
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Nexus Ventures
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20101027
27 Oct 2010
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Palantine Financial
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20101027
27 Oct 2010
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Mitsui Asset Management
|
The Dutch Authority for the Financial Markets |
The Netherlands
|
20101027
27 Oct 2010
|
|
The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM
more
|
|
Vogel and Fine
|
Financial Conduct Authority |
United Kingdom
|
20101027
27 Oct 2010
|
|
No additional comments posted.
|
|
Dynamic Wealth Management, DWM
|
Finansinspektionen |
Sweden
|
20101027
27 Oct 2010
|
|
No additional comments posted.
|
|
Raydu Advisory
|
Financial Conduct Authority |
United Kingdom
|
20101026
26 Oct 2010
|
|
No additional comments posted.
|
|
Fortitude Asset Consultants
|
Financial Conduct Authority |
United Kingdom
|
20101026
26 Oct 2010
|
|
No additional comments posted.
|
|
First Geneva Wealth Management
|
Financial Conduct Authority |
United Kingdom
|
20101026
26 Oct 2010
|
|
No additional comments posted.
|
|
International Acquisition Authority
|
Financial Conduct Authority |
United Kingdom
|
20101025
25 Oct 2010
|
|
No additional comments posted.
|
|
Wilshire Park
|
Finansinspektionen |
Sweden
|
20101022
22 Oct 2010
|
|
No additional comments posted.
|
|
Morgan Investment Management Group
|
Finansinspektionen |
Sweden
|
20101022
22 Oct 2010
|
|
No additional comments posted.
|
|
Frankfurt Financial Services Authority
|
Bundesanstalt für Finanzdienstleistungsaufsicht |
Germany
|
20101022
22 Oct 2010
|
|
There is no public authority named "Frankfurt Financial Supervisory Authority" in Germany. BaFin alone is responsible for the licensing and supervision of banks, financial service providers, insurance companies and securities trading.
|
|
Warren Hill, LLC
|
Finansinspektionen |
Sweden
|
20101021
21 Oct 2010
|
|
No additional comments posted.
|
|
Boston Capital Management, Inc.
|
Finansinspektionen |
Sweden
|
20101021
21 Oct 2010
|
|
No additional comments posted.
|
|
Talvest International
|
Financial Conduct Authority |
United Kingdom
|
20101019
19 Oct 2010
|
|
No additional comments posted.
|
|
Graham Walker
|
Finansinspektionen |
Sweden
|
20101019
19 Oct 2010
|
|
No additional comments posted.
|
|
Madison Securities
|
Finansinspektionen |
Sweden
|
20101019
19 Oct 2010
|
|
No additional comments posted.
|
|
Warthon Rubin
|
Finansinspektionen |
Sweden
|
20101019
19 Oct 2010
|
|
No additional comments posted.
|
|
Wyatt M & A Advisory
|
Finansinspektionen |
Sweden
|
20101019
19 Oct 2010
|
|
No additional comments posted.
|
|
Windsor Exchange
|
Comisión Nacional del Mercado de Valores |
Spain
|
20101018
18 Oct 2010
|
|
No additional comments posted.
|
|
FIB Trading, S.L.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20101018
18 Oct 2010
|
|
No additional comments posted.
|
|
First Financial Management
|
Financial Conduct Authority |
United Kingdom
|
20101015
15 Oct 2010
|
|
No additional comments posted.
|
|
Roxboro Capital Investment
|
Finansinspektionen |
Sweden
|
20101015
15 Oct 2010
|
|
No additional comments posted.
|
|
Orient Consult Business Consultants Ltd.
|
Finansinspektionen |
Sweden
|
20101015
15 Oct 2010
|
|
No additional comments posted.
|
|
CBFA
|
Financial Services and Markets Authority |
Belgium
|
20101015
15 Oct 2010
|
|
warning Iberia Securities
|
|
CBFA
|
Financial Services and Markets Authority |
Belgium
|
20101015
15 Oct 2010
|
|
warning XR-Group
|
|
NY Finance Limited
|
Financial Conduct Authority |
United Kingdom
|
20101014
14 Oct 2010
|
|
No additional comments posted.
|
|
NT Financial Services
|
Financial Conduct Authority |
United Kingdom
|
20101014
14 Oct 2010
|
|
No additional comments posted.
|
|
PH Capital Invest
|
Financial Conduct Authority |
United Kingdom
|
20101014
14 Oct 2010
|
|
No additional comments posted.
|
|
Hartford Brookes
|
Financial Conduct Authority |
United Kingdom
|
20101014
14 Oct 2010
|
|
No additional comments posted.
|
|
Buttonwood LLC
|
Financial Conduct Authority |
United Kingdom
|
20101013
13 Oct 2010
|
|
No additional comments posted.
|
|
Mclandish Offshore Bank
|
Jersey Financial Services Commission |
Jersey
|
20101012
12 Oct 2010
|
|
No additional comments posted.
|
|
Shaw Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20101012
12 Oct 2010
|
|
No additional comments posted.
|
|
Atlantic Administration
|
Financial Conduct Authority |
United Kingdom
|
20101011
11 Oct 2010
|
|
No additional comments posted.
|
|
Viking Gold Resources and Mining
|
Financial Conduct Authority |
United Kingdom
|
20101007
07 Oct 2010
|
|
No additional comments posted.
|
|
CBFA
|
Financial Services and Markets Authority |
Belgium
|
20101007
07 Oct 2010
|
|
warning SWIFTSURE SECURITIES LIMITED
|
|
Financial Trading Commission
|
Financial Conduct Authority |
United Kingdom
|
20101007
07 Oct 2010
|
|
No additional comments posted.
|
|
Schiller Gates
|
Financial Conduct Authority |
United Kingdom
|
20101006
06 Oct 2010
|
|
No additional comments posted.
|
|
Lincoln and Rutherford Financial Trust Management
|
Financial Conduct Authority |
United Kingdom
|
20101005
05 Oct 2010
|
|
No additional comments posted.
|
|
York Venture Capital
|
Finansinspektionen |
Sweden
|
20101005
05 Oct 2010
|
|
No additional comments posted.
|
|
Financial Asset Management, Inc.
|
Finansinspektionen |
Sweden
|
20101005
05 Oct 2010
|
|
No additional comments posted.
|
|
Financial Market Alliance
|
Financial Conduct Authority |
United Kingdom
|
20101004
04 Oct 2010
|
|
No additional comments posted.
|
|
Worldwide Finance Marketing Services
|
Financial Conduct Authority |
United Kingdom
|
20101004
04 Oct 2010
|
|
No additional comments posted.
|
|
Cedar Rock Investments Plc
|
Financial Conduct Authority |
United Kingdom
|
20100930
30 Sep 2010
|
|
No additional comments posted.
|
|
Pan-Asia Futures Limited
|
Financial Conduct Authority |
United Kingdom
|
20100930
30 Sep 2010
|
|
No additional comments posted.
|
|
Robbins, McCaully, Appleby LLC
|
Financial Conduct Authority |
United Kingdom
|
20100930
30 Sep 2010
|
|
No additional comments posted.
|
|
International Nexus Ventures
|
Financial Conduct Authority |
United Kingdom
|
20100929
29 Sep 2010
|
|
No additional comments posted.
|
|
Trading Resources Capital Management
|
Financial Conduct Authority |
United Kingdom
|
20100922
22 Sep 2010
|
|
No additional comments posted.
|
|
Norton Blake
|
Financial Conduct Authority |
United Kingdom
|
20100922
22 Sep 2010
|
|
No additional comments posted.
|
|
HR Europe
|
Financial Conduct Authority |
United Kingdom
|
20100922
22 Sep 2010
|
|
No additional comments posted.
|
|
Marcus Jones International
|
Central Bank of Ireland |
Ireland
|
20100921
21 Sep 2010
|
|
Marcus Jones International is not authorised to provide investment services to persons in Ireland. The firm purports to be based in the United Kingdom.
|
|
Selva Resources Corporation
|
Financial Conduct Authority |
United Kingdom
|
20100920
20 Sep 2010
|
|
No additional comments posted.
|
|
Tudor Client Associates
|
Financial Conduct Authority |
United Kingdom
|
20100917
17 Sep 2010
|
|
No additional comments posted.
|
|
Eco Global Markets Ltd.
|
Financial Conduct Authority |
United Kingdom
|
20100917
17 Sep 2010
|
|
No additional comments posted.
|
|
Capital Management and Investments Ltd
|
Financial Conduct Authority |
United Kingdom
|
20100916
16 Sep 2010
|
|
No additional comments posted.
|
|
Capital Intel Group
|
Financial Conduct Authority |
United Kingdom
|
20100916
16 Sep 2010
|
|
No additional comments posted.
|
|
Valcourt Investment & Advisory Services
|
Financial Conduct Authority |
United Kingdom
|
20100916
16 Sep 2010
|
|
No additional comments posted.
|
|
Chapman Fischer a/k/a Chapman Fisher
|
Financial Conduct Authority |
United Kingdom
|
20100916
16 Sep 2010
|
|
No additional comments posted.
|
|
Riva Holdings
|
Financial Conduct Authority |
United Kingdom
|
20100915
15 Sep 2010
|
|
No additional comments posted.
|
|
Cartwright & Keating
|
Finansinspektionen |
Sweden
|
20100915
15 Sep 2010
|
|
No additional comments posted.
|
|
IME Advisors
|
Financial Conduct Authority |
United Kingdom
|
20100914
14 Sep 2010
|
|
No additional comments posted.
|
|
CBFA
|
Financial Services and Markets Authority |
Belgium
|
20100910
10 Sep 2010
|
|
warning Hudson Asset Management
|
|
Belgium Financial Group
|
Financial Conduct Authority |
United Kingdom
|
20100910
10 Sep 2010
|
|
No additional comments posted.
|
|
CBFA
|
Financial Services and Markets Authority |
Belgium
|
20100909
09 Sep 2010
|
|
warning Belgium Financial Group
|
|
CBFA
|
Financial Services and Markets Authority |
Belgium
|
20100909
09 Sep 2010
|
|
warning Financial Soultions & Commodore Asset
|
|
Sterling Equity Corporation
|
Jersey Financial Services Commission |
Jersey
|
20100902
02 Sep 2010
|
|
No additional comments posted.
|
|
Xforex
|
Autorité des marchés financiers |
Quebec
|
20100901
01 Sep 2010
|
|
The website site www.xforex.com is operated by Ultimass Global Holding, headquartered in the British Virgin Islands. Xforex and Ultimass Global Holding are not registered with the AMF as dealers. Soliciting Québec investors through websites might be
more
|
|
Fusion Financial Marketing
|
Financial Conduct Authority |
United Kingdom
|
20100826
26 Aug 2010
|
|
No additional comments posted.
|
|
Inter-Euro Trading
|
Financial Conduct Authority |
United Kingdom
|
20100823
23 Aug 2010
|
|
No additional comments posted.
|
|
Dragon Partners Inc.
|
Financial Conduct Authority |
United Kingdom
|
20100817
17 Aug 2010
|
|
No additional comments posted.
|
|
FXPRO FINANCIAL SERVICES LTD.
|
Comissão de Valores Mobiliários |
Brazil
|
20100816
16 Aug 2010
|
|
Link: "Atos Declaratorios"
more
|
|
MONEY FOREX FINANCIAL LTS. (BRA FOREX)
|
Comissão de Valores Mobiliários |
Brazil
|
20100816
16 Aug 2010
|
|
Link: "Atos Declaratorios"
more
|
|
New England Worldwide Services
|
Financial Conduct Authority |
United Kingdom
|
20100816
16 Aug 2010
|
|
No additional comments posted.
|
|
WORLD DERIVATIVES TRADERS LTD
|
Financial Services Commission |
Mauritius
|
20100813
13 Aug 2010
|
|
No additional comments posted.
|
|
FXOpen Investments Inc.
|
Financial Services Commission |
Mauritius
|
20100813
13 Aug 2010
|
|
No additional comments posted.
|
|
FXMarkets Ltd
|
Financial Services Commission |
Mauritius
|
20100813
13 Aug 2010
|
|
No additional comments posted.
|
|
FXCOMPANY FINANCIAL GROUP LTD
|
Financial Services Commission |
Mauritius
|
20100813
13 Aug 2010
|
|
No additional comments posted.
|
|
BASEL FINANCIAL INC.
|
Financial Services Commission |
Mauritius
|
20100813
13 Aug 2010
|
|
No additional comments posted.
|
|
The Equity Institution
|
Financial Conduct Authority |
United Kingdom
|
20100812
12 Aug 2010
|
|
No additional comments posted.
|
|
First Shield LLC
|
Financial Conduct Authority |
United Kingdom
|
20100812
12 Aug 2010
|
|
No additional comments posted.
|
|
CONSTRUTORA CUNHA RIBEIRO LTDA. (BRAZIL)
|
Comissão de Valores Mobiliários |
Brazil
|
20100811
11 Aug 2010
|
|
Not authorized by the CVM of Brazil to perform any activities within the securities market. Not authorized to publicly offer securities, to constitute or manage investment funds/investment clubs or any other type of securities investment.
|
|
http://www.minvestimentos.com.br
|
Comissão de Valores Mobiliários |
Brazil
|
20100811
11 Aug 2010
|
|
Not authorized by the CVM of Brazil to perform any activities within the securities market. Not authorized to constitute or manage investment funds/investment clubs or any other type of securities investment.
|
|
FIRV CONSULTORIA E ADMINISTRAÇÃO DE RECURSOS FINANCEIROS LTDA (BRAZIL)
|
Comissão de Valores Mobiliários |
Brazil
|
20100811
11 Aug 2010
|
|
Not authorized by the CVM of Brazil to perform any activities within the securities market. Not authorized to constitute or manage investment funds/investment clubs or any other type of securities investment.
|
|
Senior Imobiliária Administração e Corretagem de Imóveis Ltda. (BRAZIL)
|
Comissão de Valores Mobiliários |
Brazil
|
20100811
11 Aug 2010
|
|
Unregistered issuer/securities. Not authorized by the CVM of Brazil to publicly offer securities or collective investment contracts.
|
|
CROWN INTERNATIONAL INVESTMENTS (NBD) SDN BHD (BRUNEI)
|
Comissão de Valores Mobiliários |
Brazil
|
20100811
11 Aug 2010
|
|
Not authorized by the CVM of Brazil to:
more
|
|
LEGÍTIMA ASSESSORIA E CONSULTORIA LTDA. (BRAZIL)
|
Comissão de Valores Mobiliários |
Brazil
|
20100811
11 Aug 2010
|
|
Not authorized by the CVM of Brazil to:
more
|
|
NEW LIFE CORRETORA DE SEGUROS LTDA.
|
Comissão de Valores Mobiliários |
Brazil
|
20100811
11 Aug 2010
|
|
Not authorized by the CVM Brazil to:
more
|
|
Samsung Securities a/k/a Sigma Securities
|
Financial Conduct Authority |
United Kingdom
|
20100811
11 Aug 2010
|
|
No additional comments posted.
|
|
Cooper and Daniels Company
|
Financial Conduct Authority |
United Kingdom
|
20100811
11 Aug 2010
|
|
No additional comments posted.
|
|
North Pacific Mergers & Acquisitions
|
Financial Conduct Authority |
United Kingdom
|
20100811
11 Aug 2010
|
|
No additional comments posted.
|
|
Energy and Equity Research Group
|
Financial Conduct Authority |
United Kingdom
|
20100811
11 Aug 2010
|
|
No additional comments posted.
|
|
Smith & Dalton M & A
|
Financial Conduct Authority |
United Kingdom
|
20100811
11 Aug 2010
|
|
No additional comments posted.
|
|
Cobalt Finance Group
|
Financial Conduct Authority |
United Kingdom
|
20100811
11 Aug 2010
|
|
No additional comments posted.
|
|
Nikkei Financial
|
Financial Conduct Authority |
United Kingdom
|
20100811
11 Aug 2010
|
|
No additional comments posted.
|
|
St. George Europe, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Morton Management, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Murrayfield Investment Management, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Standard Provident International, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Stratford Advisory Services
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
New World Financial Europe, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Aurea Negocios, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Eagle Star International Group
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
H.S.F. IBZ, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Hartford Management Group
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Price-Stone Group, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Daily Report, SA
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Brookfield Partners, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Administraciones Temple Bar, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Berkley Wyatt Asset Limited, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
CISA, SL Corporate Investment Services
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
CISA Management, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Remington York Ltd.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
BR Consultance Alfaz, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Anderson McCormack Group, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Cornhill Management, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Broker's Society Sociedad de Gestión y Tramitación Financiero Aseguradora, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Euro Trust Capital Management
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Hibber Bothwell Capital Partners
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Gran Canaria Consultores Y Asesores, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Tribu International Invest, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Akeman Allan Capital
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Akeman Capital
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Atlantis Financial
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Capital Resources Systems Ltd
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
GCI Financial Ltd.
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Capital Management Schotts, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
www.gestionforex.com
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Associació Corporativa D'Empresaris Immobiliaris
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Evolution Market Group Inc. (Finanzas Forex)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
System World Investment Corp. (Dextraplus)
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Banco de Pesmir Trading
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Pesmir Trading, SA
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Strategic Investment Group
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Martin Howard Associates, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Morgan Franklin Consultants, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Morgan Finch International
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Global Valores
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Recobolsa, SA
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Capitalsys
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
European Marketing Team, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Dividium Capital, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Affirmo Grupo Inversor, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
El Toro Consult, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Deribolsa, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Beckham Advisors Alliance, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Aurea Negocios, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
Morton Management, SL
|
Comisión Nacional del Mercado de Valores |
Spain
|
20100806
06 Aug 2010
|
|
No additional comments posted.
|
|
CBFA
|
Financial Services and Markets Authority |
Belgium
|
20100803
03 Aug 2010
|
|
warning 'Quertus Yachting'
|
